| 20-02708 | 10/04/2021 | Claimant(s): Robert Dunn
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Linda J. Baer
Hearing Site: New York, NY
| | |
| 20-01798 | 09/15/2021 | Claimant(s): Elvie Moore, Esther Buckram, Maureen Dowe
Claimant Lawyers(s): Max Folkenflik
Respondent(s): Eric Schwimmer, Prudential Financial.
Respondent Lawyers(s): Vincent A. Sama
Arbitrator(s): Leona Beane, Linda J. Baer, Noah Jonathan Hanft
Hearing Site: New York, NY
| | |
| 20-03554 | 08/03/2021 | Claimant(s): Joan Rudnick, Oak Trail Associates LLC, Oak Trail, II
Claimant Lawyers(s): Ernest Edward Badway
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Linda J. Baer, Marvin L. Schuldiner, Lucille Theresa Alfano
Hearing Site: Jersey City, NJ
|  | $642,610 |
| 20-01103 | 06/29/2021 | Claimant(s): Benjamin F. Edwards & Company.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Peter Budd
Respondent Lawyers(s): Peter Charlton Budd
Arbitrator(s): Linda J. Baer
Hearing Site: Jersey City, NJ
| | |
| 21-00337 | 05/12/2021 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Mohammad Khan
Respondent Lawyers(s): Mohammad Ghelich Khan
Arbitrator(s): Linda J. Baer
Hearing Site: Manchester, NH
| | $0 |
| 20-03062 | 04/14/2021 | Claimant(s): Robert Ferrari
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Signator Investors.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Linda J. Baer
Hearing Site: Jersey City, NJ
| | |
| 20-02511 | 04/13/2021 | Claimant(s): Beverly Ketel
Claimant Lawyers(s): Beverly Marie Ketel
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Geoffrey W. Millsom
Arbitrator(s): Thomas C. Tretter, Linda J. Baer, Edward W. Morris
Hearing Site: Manchester, NH
| | |
| 18-03637 | 03/30/2021 | Claimant(s): Gregory Macko
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Linda J. Baer, William T. Brice
Hearing Site: Hartford, CT
| | |
| 20-01493 | 12/17/2020 | Claimant(s): Dennis Hall
Claimant Lawyers(s): Susan M. Kelleher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Linda J. Baer
Hearing Site: Jersey City, NJ
| | |
| 20-00463 | 12/03/2020 | Claimant(s): Andrew Bodner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Linda J. Baer
Hearing Site: Jersey City, NJ
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