| 23-01349 | 04/11/2024 | Claimant(s): Peter Armstrong
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Advisors Asset Management.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Jim Geiger
Hearing Site: Columbus, OH
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| 19-00801 | 08/26/2022 | Claimant(s): Shlomo Salant
Claimant Lawyers(s): John D. Singer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Robert I. Adler, Peter E. Gillespie, Daniel Engelstein
Hearing Site: New York, NY
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| 13-02035 | 06/17/2015 | Claimant(s): Julia Numair
Claimant Lawyers(s): John D. Singer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Mary A. Dubas, James M. Rhodes, David J. Weisenfeld
Hearing Site: New York, NY
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| 12-00788 | 06/11/2013 | Claimant(s): Robert Meyer
Claimant Lawyers(s): Charles J. Uliano
Respondent(s): Edward Moldaver, Morgan Stanley
Respondent Lawyers(s): David Robbins, Kevin B. Walker
Arbitrator(s): Charles A. Crocco, Michael L.B. Kaplan, Louis P. Wagman
Hearing Site: Newark, NJ
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| 09-01121 | 06/09/2011 | Claimant(s): Yasir Sabri
Claimant Lawyers(s): John D. Singer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Christal J. Henner, Carolyn A. Mann, Ivan W. Harper
Hearing Site: New York, NY
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| 08-00670 | 06/03/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kevin B. Walker
Respondent(s): Peter Thompson
Respondent Lawyers(s): Brian J. Sommer
Arbitrator(s): Karin A. Schlosser, Michael S. Berman, Ronald J. Ricci
Hearing Site: Pittsburgh, PA
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| 06-03789 | 04/16/2009 | Claimant(s): John Gaffney
Claimant Lawyers(s): Richard A. Herman
Respondent(s): Andrew Grillo, George Batelli Jr., Citigroup Global Markets., Maribeth Robinson, Peter Liebeskind, Steven Torrico
Respondent Lawyers(s): Christopher M. Galusha, Kevin B. Walker
Arbitrator(s): Charles A. Crocco, Marguerite B. Filson, Howard Breindel
Hearing Site: Newark, NJ
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| 07-03384 | 10/20/2008 | Claimant(s): Ronald Waseleski
Claimant Lawyers(s): Ronald Richard Waseleski
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Garrett J. Dombrowski
Hearing Site: Newark, NJ
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| 07-02588 | 07/11/2008 | Claimant(s): Katie Guzzo
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Paul H. McKenna, Jared D. Simmer, Kenneth Alan Eisner
Hearing Site: Pittsburgh, PA
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| 06-00575 | 03/14/2008 | Claimant(s): James O'Leary
Claimant Lawyers(s): Dan A. Druz
Respondent(s): Citigroup Global Markets., Ron Sallet
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Jack Friedman, Louis H. Miron, James M. Baumann
Hearing Site: Newark, NJ
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