| 20-03458 | 07/23/2021 | Claimant(s): Sean Dobranich
Claimant Lawyers(s): James P. Galvin
Respondent(s): Wells Fargo Clearing Services, Waddell & Reed
Respondent Lawyers(s): Chad Weaver, Patricia Cowart
Arbitrator(s): Barry A. Mainardi, Robert E. Jenks, Ben Lehavi
Hearing Site: Las Vegas, NV
| | |
| 20-03958 | 06/01/2021 | Claimant(s): Jonathan Sard
Claimant Lawyers(s): James P. Galvin
Respondent(s): Purshe Kaplan Sterling Investments
Respondent Lawyers(s): David Purcell
Arbitrator(s): Michael J. Ahlstrom, Judith Stilz Ogden, Brian Francis Pocock
Hearing Site: Atlanta, GA
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| 20-03520 | 03/15/2021 | Claimant(s): Sean Dobranich
Claimant Lawyers(s): James P. Galvin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Mary M. O'Neil, Nicholas John Reiter, William Ogburn Huggins
Hearing Site: Las Vegas, NV
| | |
| 20-02266 | 02/23/2021 | Claimant(s): Michael Marshall
Claimant Lawyers(s): James P. Galvin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Phoenix, AZ
| | |
| 20-02828 | 02/18/2021 | Claimant(s): Nicolas Meyer
Claimant Lawyers(s): James P. Galvin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Indianapolis, IN
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| 20-02262 | 01/15/2021 | Claimant(s): Gerald Hast
Claimant Lawyers(s): James P. Galvin
Respondent(s): Pro-Integrity Securities.
Respondent Lawyers(s): William Perry
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
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| 20-02265 | 12/16/2020 | Claimant(s): Michael Marshall
Claimant Lawyers(s): James P. Galvin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Thomas E Shuck
Hearing Site: Phoenix, AZ
| | |
| 20-02267 | 11/23/2020 | Claimant(s): Michael Marshall
Claimant Lawyers(s): James P. Galvin
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Samantha D. Parrish
Arbitrator(s): Timothy J. Kroll
Hearing Site: Phoenix, AZ
| | |
| 19-03294 | 04/07/2020 | Claimant(s): Robert Warther
Claimant Lawyers(s): James P. Galvin
Respondent(s): Securities America.
Respondent Lawyers(s): Laurel A. Whelan
Arbitrator(s): Diane M. Perry, Robert G. Geeseman, Tiffany Ann Taylor
Hearing Site: Boca Raton, FL
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| 17-02384 | 03/19/2019 | Claimant(s): Harriett Chomen, Ira Fink
Claimant Lawyers(s): James P. Galvin
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
|  | Expungement |
