| 21-00720 | 10/07/2021 | Claimant(s): Tomoe Odahara
Claimant Lawyers(s): Jordan D. Becker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Susan C Lushing, Annamaria Boccia Smith, Mark Peter Haslinger
Hearing Site: New York, NY
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| 18-03225 | 03/12/2019 | Claimant(s): John Nelson
Claimant Lawyers(s): Jordan D. Becker
Respondent(s): J.P. Morgan Securities, Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffrey Rodgers, Thomas J. Cahill
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
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| 16-01147 | 11/30/2017 | Claimant(s): Kulruedee Wongpakdee, Steven Hoffner
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Jack Seibald, Michael Rosen, Wayne Geffen, Burnham Securities Inc., Cowen Prime Services LLC, Concept Capital Markets LLC
Respondent Lawyers(s): John Burnham, Jordan D. Becker, Mark J. Hyland
Arbitrator(s): Cynthia A. DiMarco, Lynne M. Reid-McQueen
Hearing Site: New York, NY
|  | Expungement |
| 11-04353 | 12/02/2013 | Claimant(s): Tullett Prebon Financial Services LLC
Claimant Lawyers(s): Jonathan Stoler
Respondent(s): Matthew Brust
Respondent Lawyers(s): Jordan D. Becker
Arbitrator(s): Henry Tiffany, Keith Roberts, Michele S. Riley
Hearing Site: New York, NY
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| 11-04009 | 11/27/2012 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Wells Fargo Advisors Financial Network, Ellen Boyce
Respondent Lawyers(s): Jordan D. Becker, Thomas Bradford Lewis
Arbitrator(s): Maurice R. Dunie, Ezio E. Borchini, Jane Kwok Ping Tam
Hearing Site: Baltimore, MD
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| 11-00792 | 07/16/2012 | Claimant(s): J.P. Morgan Securities, JPMorgan Chase Bank N.A.
Claimant Lawyers(s): Jordan D. Becker
Respondent(s): Morgan Stanley, Timothy Soderquist
Respondent Lawyers(s): J. Scott Paul, John S. Lutz
Arbitrator(s): Bruce Brown, Edward F. Altman, Richard Djokic
Hearing Site: Denver, CO
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| 08-03523 | 01/22/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jordan D. Becker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Chrys
Respondent Lawyers(s): Jeffrey J. Calabrese, Louis M. Lagalante
Arbitrator(s): Jay F. Donnaruma, Stuart M. Schwartz, Ruth A. Ihne
Hearing Site: Albany, NY
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| 07-02921 | 08/08/2008 | Claimant(s): Anthony Russo, Christopher Drake, David Luna, Stifel, Nicolaus & Co.., Donald Johns, Edward Gutierrez, Herbert Keyser, Jon Bostrom, Linda Swart-Scipione, Lisa Evans, Lisa McCrea, Manuel Lozano, Michael Nielsen, Raymond Reed
Claimant Lawyers(s): Joseph A. Dougherty, Kenneth C. Mennemeier
Respondent(s): Wachovia Securities, A.G. Edwards & Sons.
Respondent Lawyers(s): Jordan D. Becker
Arbitrator(s): Keith D. Patten, Robert W. Dempsey, Jeffrey N. Sullivan
Hearing Site: St. Louis, MO
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