| 20-01406 | 12/10/2020 | Claimant(s): Michael Lomas
Claimant Lawyers(s): Harry Meyer
Respondent(s): Next Financial Group.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Buffalo, NY
| | |
| 20-01545 | 10/30/2020 | Claimant(s): Daniel Kautz
Claimant Lawyers(s): Robert Moses
Respondent(s): American Portfolios Financial Srvs.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Tracy L. Allen
Hearing Site: Buffalo, NY
| | |
| 20-00823 | 09/18/2020 | Claimant(s): Mark Eidlin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Richard W. Dissen
Hearing Site: Buffalo, NY
| | |
| 20-00678 | 08/24/2020 | Claimant(s): Lynda Martinsen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Annette K. Ebright
Arbitrator(s): Michael D. McDowell
Hearing Site: Buffalo, NY
| | |
| 20-00494 | 08/12/2020 | Claimant(s): Alexander Skabry
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Shelley Davenport
Arbitrator(s): Tracy L. Allen
Hearing Site: Buffalo, NY
| | |
| 18-03824 | 06/10/2020 | Claimant(s): Anthony Cipolla
Claimant Lawyers(s): Thomas A. Brown
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): James A. Joseph, Jeffry M. Bauer, Gary E Vickers
Hearing Site: Buffalo, NY
| | |
| 18-01381 | 02/12/2020 | Claimant(s): Jesse Erdle
Claimant Lawyers(s): Kenneth W. Africano
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John Stewart
Arbitrator(s): Tracy L. Allen, Ralph L. Halpern, L. Paul Kehoe
Hearing Site: Buffalo, NY
|  | $0 |
| 18-01457 | 11/01/2019 | Claimant(s): Elizabeth Jachles
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): John C. Aten, William Joseph Caprathe, Gary E Vickers
Hearing Site: Buffalo, NY
| | $0 |
| 18-02708 | 07/15/2019 | Claimant(s): Jesse Erdle, Lissette Erdle
Claimant Lawyers(s): Jesse Erdle
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John K. Gisleson
Arbitrator(s): Jeffry M. Bauer, John C. Aten, Paul K. Stecker
Hearing Site: Buffalo, NY
| | $0 |
| 16-03454 | 04/25/2019 | Claimant(s): James Fitzpatrick, Sandra Fitzpatrick, The Fitzpatrick Family Trust
Claimant Lawyers(s): Jason J. Kane
Respondent(s): AXA Advisors
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Jeffrey M. Bain, Thomas E. Webb, Krista Gottlieb
Hearing Site: Buffalo, NY
| | $3,181,830 |
