| 24-00851 | 10/30/2024 | Claimant(s): Jasmine Abouzied
Claimant Lawyers(s): Michael A. Gross
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Alyson A. Terrell
Arbitrator(s): Stuart Sinai, Peter A. Goldman, Jane C. Carney
Hearing Site: New York, NY
| | |
| 20-02507 | 10/30/2024 | Claimant(s): Cinda Collins
Claimant Lawyers(s): Vincent D. Louwagie
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Kevin D. Hofman, Jo Anne F. Lewellen, Nathaniel Cade
Hearing Site: Minneapolis, MN
| | |
| 23-01637 | 10/30/2024 | Claimant(s): Austin Saremi
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kathryn Perreault
Arbitrator(s): Roberta Haft, Edith N. Dinneen, April Paradise-Switzer
Hearing Site: Los Angeles, CA
| | |
| 23-03396 | 10/30/2024 | Claimant(s): Daniel Michalow
Claimant Lawyers(s): Thomas A. Clare
Respondent(s): D.E. Shaw & Co., L.P.
Respondent Lawyers(s): Terri L. Chase
Arbitrator(s): Marcia L. Adelson, Linda J. Baer, Nancy Marie Thevenin
Hearing Site: New York, NY
| | |
| 24-01375 | 10/28/2024 | Claimant(s): Citizens Securities.
Claimant Lawyers(s): Stuart D. Roberts
Respondent(s): Richard Trotta
Respondent Lawyers(s): Richard Louis Trotta
Arbitrator(s): John B. Taulane
Hearing Site: Philadelphia, PA
| | |
| 23-03006 | 10/28/2024 | Claimant(s): Andrew Schultz
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Barry David Thorpe
Hearing Site: Boca Raton, FL
| | |
| 23-01536 | 10/25/2024 | Claimant(s): Hector Crespo
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY
| | |
| 24-01654 | 10/25/2024 | Claimant(s): Raymond James & Associates.
Claimant Lawyers(s): Kris Galloway
Respondent(s): Michael Magruder
Respondent Lawyers(s): Michael E. Magruder
Arbitrator(s): Langfred W. White
Hearing Site: Orlando, FL
| | |
| 23-02939 | 10/25/2024 | Claimant(s): Michael Fordham
Claimant Lawyers(s): Gordon C. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Roberta Haft, Olivia J. Valentine, Bruce Leslie Ishimatsu
Hearing Site: Los Angeles, CA
| | |
| 24-01613 | 10/24/2024 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Laurence Rollins
Respondent Lawyers(s): Laurence Charles Rollins
Arbitrator(s): Ann C. Northern
Hearing Site: New York, NY
| | |
