| 17-01718 | 06/16/2021 | Claimant(s): Kayvan Karoon, KS Capital Management
Claimant Lawyers(s): Philip L. Guarino
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Leslie Ruth Nydick, James M. Rhodes, Antonio Di Palma
Hearing Site: Jersey City, NJ
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| 20-02349 | 06/14/2021 | Claimant(s): James Gallagher Rollover IRA, James and Donna Gallagher
Claimant Lawyers(s): James J. Gallagher
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Veronica Ann Williams, Howard Alan Grinsberg, Phillip Michael Brown
Hearing Site: Jersey City, NJ
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| 20-02200 | 06/04/2021 | Claimant(s): Christopher DiGregorio
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Jill B. Clarke
Arbitrator(s): Louis H Miron
Hearing Site: Jersey City, NJ
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| 20-03180 | 06/03/2021 | Claimant(s): Chi-Hong Chu
Claimant Lawyers(s): Robert Moses
Respondent(s): American Portfolios Financial Srvs.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Robert E. Anderson
Hearing Site: Jersey City, NJ
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| 20-04181 | 06/02/2021 | Claimant(s): William Williamson
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC, Santander Securities LLC
Respondent Lawyers(s): Daniel LaPenta, Sara B. Davis
Arbitrator(s): Michael H DuBoff
Hearing Site: Jersey City, NJ
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| 20-02780 | 05/27/2021 | Claimant(s): Christopher Cort
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Joan M. Traub
Hearing Site: Jersey City, NJ
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| 20-03202 | 05/24/2021 | Claimant(s): Chi-Hong Chu
Claimant Lawyers(s): Robert Moses
Respondent(s): American Portfolios Financial Srvs.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Marvin L. Schuldiner
Hearing Site: Jersey City, NJ
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| 20-02922 | 05/21/2021 | Claimant(s): Edward Hynes
Claimant Lawyers(s): Richard S. Meisner
Respondent(s): The Jeffrey Matthews Financial Group LLC
Respondent Lawyers(s): Stephen Cucchia
Arbitrator(s): Julian F. Santos
Hearing Site: Jersey City, NJ
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| 20-02131 | 05/19/2021 | Claimant(s): Joseph Andreoli
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
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| 19-02927 | 05/12/2021 | Claimant(s): Douglas Evans, Hickory Capital
Claimant Lawyers(s): Douglas Evans
Respondent(s): Kevin Sullivan, GWFS Equities.
Respondent Lawyers(s): Michael R. Greco, Timothy J. Perry
Arbitrator(s): Joan Marie Chiusano, Paul Allan Massaro, Lisa Diane Love
Hearing Site: Jersey City, NJ
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