| 19-03647 | 09/10/2020 | Claimant(s): Wayde Walker
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Casimir Capital L.P.
Respondent Lawyers(s): Richard Sands
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
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| 20-00712 | 08/13/2020 | Claimant(s): Christopher Scalese
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): James Noblett
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
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| 19-02957 | 07/15/2020 | Claimant(s): Chuck Roberts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
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| 20-00190 | 07/08/2020 | Claimant(s): Neil Canell
Claimant Lawyers(s): Kurt Kalberer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
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| 19-03036 | 07/02/2020 | Claimant(s): Steven Kavall
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Jamie L. Helman
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
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| 19-03452 | 06/09/2020 | Claimant(s): David Manning
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Institutional Securities, L.L.C.
Respondent Lawyers(s): James K. Langdon
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
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| 13-03704 | 03/10/2020 | Claimant(s): Elana Deutsch, Elie Deutsch, Alan Deutsch A/C/F for Ayelethashacha, Alan Deutsch A/C/F for Natanel Deutsch, Alan Deutsch A/C/F for Zecharia Deutsch, Sonja G. Deutsch Irrevocable Trust
Claimant Lawyers(s): Kevin J. Deloatch
Respondent(s): James Ducey, Stuart Alter, Morgan Stanley Smith Barney LLC
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Julian F. Santos, Joan M. Traub, Daniel F. Morrissey
Hearing Site: New York, NY
|  | Dismissed |
| 19-00563 | 02/06/2020 | Claimant(s): Anthony Sica
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Prudential Securities, Shearson Lehman Brothers Inc. (Puerto Ri
Respondent Lawyers(s): Alan S. Brodherson, Joseph A. Del Duca
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
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| 19-01853 | 01/28/2020 | Claimant(s): Gary Ribe
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Sara K. Yates
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
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| 19-00600 | 10/16/2019 | Claimant(s): Michael Olivia
Claimant Lawyers(s): John Stewart
Respondent(s): Park Avenue Securities LLC
Respondent Lawyers(s): Donna Krouzman
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
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