| 20-03762 | 05/21/2021 | Claimant(s): Samuel Hall
Claimant Lawyers(s): Samuel Hall
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Robert Dean McKinley
Hearing Site: Phoenix, AZ
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| 20-02946 | 05/18/2021 | Claimant(s): Matthew Williams
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Louis M. Parker, Denis Frank, Carrie Lynette Thompson Jones
Hearing Site: Phoenix, AZ
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| 20-03307 | 05/06/2021 | Claimant(s): Matthew Davies
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Merton E. Marks, Walter Steven Schwartz, John Josef Kazanjian
Hearing Site: Phoenix, AZ
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| 19-00077 | 05/12/2020 | Claimant(s): Amit Mehrotra
Claimant Lawyers(s): David B. Wechsler
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Roger Loeb, Judith B Weinstock, Gerald M. Levine
Hearing Site: New York, NY
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| 18-01151 | 01/23/2020 | Claimant(s): Garett Ceraso
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Joseph R. Brancaleone, Martin L. Feinberg, Susan Manca
Hearing Site: New York, NY
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| 15-00058 | 04/19/2017 | Claimant(s): Bethany Pagnani, Michael Rollins
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): James Furlong, Fidelity Brokerage Services LLC, Fidelity Investments Institutional Srvcs, Roger Trapp
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Timothy J. Currier, Patrick R. Sughroue, Eugene Kenneth Laporte
Hearing Site: Detroit, MI
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| 13-00509 | 10/30/2014 | Claimant(s): Alex Vitale
Claimant Lawyers(s): Howard E. King
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Douglas W. Oldfield, Pamela S. Mann, Louis Anthony Napoli
Hearing Site: San Francisco, CA
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| 11-04800 | 08/25/2014 | Claimant(s): Edward Chiappara
Claimant Lawyers(s): John D. Singer
Respondent(s): Deutsche Bank Trust Company, N.A.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Melanie S. Cherdack, Marie Paulette Levine, Jeffrey R. Roth
Hearing Site: Miami, FL
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| 11-02612 | 10/04/2013 | Claimant(s): Vikram Kaul
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Lowell D. Johnston, Cirino M. Bruno, Richard Bryce Nesson
Hearing Site: New York, NY
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| 11-00581 | 02/12/2013 | Claimant(s): Thomas Lynch
Claimant Lawyers(s): Carmelyn Malalis
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Charles P. Axelrod, John Daly, Adam M. Kauff
Hearing Site: New York, NY
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