| 23-00164 | 04/06/2023 | Claimant(s): Josef Najar
Claimant Lawyers(s): David E. Robbins
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): G. Wayne Hillis, Jr.
Arbitrator(s): Fred S. Pieroni, Edward W. Morris, Joanne Basso Mack
Hearing Site: New York, NY
| | |
| 21-00816 | 01/30/2023 | Claimant(s): Bruce Ryan, Richard Kreger, RHK Capital
Claimant Lawyers(s): Richard Slavin
Respondent(s): Susan Lemoine, William McCance, Advisory Group Equity Services Ltd., Trust Advisory Group LTD
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Edward W. Morris, Christian Leslie Billet, Jay Alan Kranis
Hearing Site: New York, NY
| | |
| 22-00796 | 12/13/2022 | Claimant(s): Daniel Muskat
Claimant Lawyers(s): Stephan Louviere
Respondent(s): NYLife Securities LLC, MML Investors Services
Respondent Lawyers(s): Christopher J. Murdoch, Julie E. Ravis
Arbitrator(s): Edward W. Morris
Hearing Site: Manchester, NH
| | |
| 21-02847 | 10/25/2022 | Claimant(s): Sean Barker
Claimant Lawyers(s): Alexander Darr
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Frank Cuccio
Arbitrator(s): Samuel H. Chorches, John W. Eichleay, Edward W. Morris
Hearing Site: Augusta, ME
|  | $0 |
| 21-00011 | 07/06/2022 | Claimant(s): Mark Levy
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): NTB Financial Corporation
Respondent Lawyers(s): Frank W. Visciano
Arbitrator(s): Edward W. Morris, Melanie Barr-Brooks, Robert J. Kirkner
Hearing Site: Wilmington, DE
| | $0 |
| 21-01626 | 06/14/2022 | Claimant(s): Kristina Watts
Claimant Lawyers(s): J. Allen Holland
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Edward W. Morris, John George Neylon, David S Godkin
Hearing Site: Boston, MA
| | $185,238 |
| 19-00941 | 05/09/2022 | Claimant(s): Elizabeth Berlin, Stephen Berlin
Claimant Lawyers(s): James L. Kauffman
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Robert E. Anderson, Edward W. Morris, William Stephen Mailander
Hearing Site: Wilmington, DE
| | Expungement |
| 21-01095 | 04/27/2022 | Claimant(s): Marlen Osadchy
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Edward W. Morris, Cynthia Kouril, Joanne Sari Feld
Hearing Site: New York, NY
| | |
| 21-02245 | 02/15/2022 | Claimant(s): Aftab Sandhu
Claimant Lawyers(s): Aftab Sandhu
Respondent(s): Robinhood Financial
Respondent Lawyers(s): Jonathan J. Brennan
Arbitrator(s): Edward W. Morris
Hearing Site: Jersey City, NJ
| | $2,500 |
| 19-03440 | 11/05/2021 | Claimant(s): Richard Pierre
Claimant Lawyers(s): Paul Radvany
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
| | $38,104 |
