| 20-00338 | 06/25/2020 | Claimant(s): William DeFeo
Claimant Lawyers(s): William Defeo
Respondent(s): TD Ameritrade Clearing., TD Ameritrade., TD Ameritrade Investment Management LLC
Respondent Lawyers(s): Ilana Herscovitz Reid
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
|  | $125 |
| 19-01739 | 02/13/2020 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Kenneth Vaishville
Respondent Lawyers(s): Kenneth Vaishville
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
| | |
| 19-00806 | 01/07/2020 | Claimant(s): Lyudmila Lankin
Claimant Lawyers(s): Lyudmila Lankin
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Mark G. Materna
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
| | $0 |
| 18-03912 | 11/22/2019 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Jeffrey Raphael
Respondent Lawyers(s): Robert L. Herkovits
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
| | |
| 18-03753 | 10/29/2019 | Claimant(s): Ann Marie Gallagher
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | $8,100 |
| 18-03635 | 10/14/2019 | Claimant(s): Linda Gouza, Theodore Gouza
Claimant Lawyers(s): Chad M. Ostrosky
Respondent(s): LPL Financial LLC, Bryan Davis
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Richard W. Dissen, Edward W. Morris, Kenneth Alan Eisner
Hearing Site: Pittsburgh, PA
| | $0 |
| 19-01520 | 09/17/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Steven Silverthorne
Respondent Lawyers(s): Steven M. Silverthorne
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | |
| 17-03428 | 05/08/2019 | Claimant(s): Herman Fuchs, Mina Fuchs
Claimant Lawyers(s): Brad S. Maistrow
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Robert E. Anderson, Edward W. Morris, Sylvia Kaminsky
Hearing Site: Newark, NJ
| | $0 |
| 18-00774 | 02/22/2019 | Claimant(s): Kevin Koch
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman, Robin H. Rome
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
| | |
| 17-02787 | 01/15/2019 | Claimant(s): David Lipschitz
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): CLSA Americas
Respondent Lawyers(s): Barbara M. Roth
Arbitrator(s): Joseph N. Stineman, Edward W. Morris, Susan Romano
Hearing Site: New York, NY
| | |
