| 21-03038 | 10/09/2023 | Claimant(s): William Capece
Claimant Lawyers(s): Christopher Coss
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Stephen T. Mayhew, Gregory J. Spadea, Arthur Traldi
Hearing Site: Philadelphia, PA
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| 22-02898 | 07/07/2023 | Claimant(s): Kinzey Lynch
Claimant Lawyers(s): Scott M. Pollins
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Elizabeth Ann Morgan
Hearing Site: Philadelphia, PA
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| 20-03466 | 03/03/2023 | Claimant(s): David Maris
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Wells Fargo Securities
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Margarita Echevarria, Nancy Kramer, Mario Cho Valdes
Hearing Site: New York, NY
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| 21-02604 | 07/22/2022 | Claimant(s): Paul Habib
Claimant Lawyers(s): Paul George Habib
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Jack Friedman, Dean Burrell, Jason Pickholz
Hearing Site: Jersey City, NJ
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| 19-00573 | 06/14/2022 | Claimant(s): Brian Dennis
Claimant Lawyers(s): Kita Lantman
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, Mark Lippman
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Thomas E. Hommel, Cindy B. Eisenberg, Lynne M. Reid-McQueen
Hearing Site: New York, NY
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| 20-00495 | 11/22/2021 | Claimant(s): Barry Price
Claimant Lawyers(s): Kim L. Michael
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Lisa Lograno, Clive I. Morrick, Robert N. Fass
Hearing Site: New York, NY
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| 19-00803 | 11/16/2021 | Claimant(s): Adam Kaplan, Daniel Kaplan
Claimant Lawyers(s): John D. Singer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Andrew M. Schmertz, Ann Judith Gellis, Rick Rutman
Hearing Site: New York, NY
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| 20-02384 | 11/16/2021 | Claimant(s): David Holtz
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
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| 20-02176 | 10/18/2021 | Claimant(s): Justin Murphy
Claimant Lawyers(s): Gary R. Irwin
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Larry N. Litt, Jonathan B. Gilbert, Ansis Viksnins
Hearing Site: Minneapolis, MN
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| 18-04216 | 07/09/2021 | Claimant(s): Andrew Safran
Claimant Lawyers(s): Jonathan S. Sack
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Paul R. Walsh, Richard A. Cini, Mitchell Regenbogen
Hearing Site: New York, NY
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