| 17-01288 | 02/15/2018 | Claimant(s): Michael Pierce
Claimant Lawyers(s): Michael Bessette
Respondent(s): Tower Square Securities.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Christopher M. McMurray
Hearing Site: Washington, DC
| | |
| 16-01561 | 01/29/2018 | Claimant(s): Thomas Howes
Claimant Lawyers(s): Thomas W. Howes
Respondent(s): NYLife Securities LLC, Christopher Cuneo, Daniel Frazier, David Ponder, James Robertson, Joseph Lapietra, Noel Kellert, Pragnesh Bhatt, Satchie Carvounis, Scott Potoma, Scotty Reedy, New York Life Insurance Company
Respondent Lawyers(s): Brandon J. Brigham, Jeffrey A. Sturgeon
Arbitrator(s): Evelyn D. Pisegna-Cook, Olivia Milbank Farrar, Valencia Renae Rainey
Hearing Site: Washington, DC
| | |
| 17-01348 | 01/02/2018 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Manoj R. Andalkar
Respondent(s): Stephanie Yoingco
Respondent Lawyers(s): Stephanie Ann Yoingco
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
| | |
| 16-02243 | 11/28/2017 | Claimant(s): Nicholas Durso, Samuel Solondz
Claimant Lawyers(s): David F. McComb
Respondent(s): PNC Investments
Respondent Lawyers(s): Gary Lieberman
Arbitrator(s): Nancy E. Watters
Hearing Site: Washington, DC
| | |
| 17-00742 | 10/16/2017 | Claimant(s): David Ciccone
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Matthew Stephen Duchesne
Hearing Site: Washington, DC
| | |
| 17-00402 | 10/02/2017 | Claimant(s): Andrew Rieger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, Citigroup Global Markets.
Respondent Lawyers(s): Chan Nam, David I. Hantman
Arbitrator(s): Olivia Milbank Farrar
Hearing Site: Washington, DC
| | |
| 16-03619 | 09/29/2017 | Claimant(s): Tamra Amakwe (Dicus)
Claimant Lawyers(s): Tamra L. Amakwe (Dicus)
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
|  | $0 |
| 17-00207 | 09/28/2017 | Claimant(s): Bradley Burton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Olivia Milbank Farrar
Hearing Site: Washington, DC
| | |
| 16-00955 | 08/31/2017 | Claimant(s): Heath Marell, James Marell, Susan Marell
Claimant Lawyers(s): Matt Simmons
Respondent(s): Mark Plummer, Texas E&P Partners.
Respondent Lawyers(s): Charles W. Gameros
Arbitrator(s): Karen L. Crump-Wilson, Christopher M. McMurray, Jeffrey Axelrad
Hearing Site: Washington, DC
| | $299,772 |
| 17-00369 | 07/06/2017 | Claimant(s): Ambrose Hill
Claimant Lawyers(s): David Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
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