| 18-01908 | 02/11/2019 | Claimant(s): Steven Flagg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | |
| 18-02538 | 02/08/2019 | Claimant(s): George Elkin
Claimant Lawyers(s): Robert Moses
Respondent(s): American Portfolios Financial Services,
Respondent Lawyers(s): Frank A. Tauches
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | |
| 18-00674 | 01/25/2019 | Claimant(s): Thomas Kelly
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | |
| 18-01834 | 11/30/2018 | Claimant(s): Michael Clark
Claimant Lawyers(s): Robert Moses
Respondent(s): American Portfolios Financial Services,
Respondent Lawyers(s): Frank A. Tauches
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 18-01312 | 11/28/2018 | Claimant(s): Jennifer Hatch
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | |
| 18-01710 | 11/27/2018 | Claimant(s): John Burke
Claimant Lawyers(s): Katherine B. Harrison
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 18-00672 | 11/16/2018 | Claimant(s): David Munoz
Claimant Lawyers(s): Michael Bessette
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 17-02924 | 09/19/2018 | Claimant(s): Weild & Co.
Claimant Lawyers(s): Elliott M. Kroll
Respondent(s): Mark Edwards Partners LLC
Respondent Lawyers(s): Thorn Rosenthal
Arbitrator(s): Robert E. Anderson, Thomas M. Flohr, Laura Wong-Pan
Hearing Site: New York, NY
| | |
| 18-00232 | 09/19/2018 | Claimant(s): John Hyland
Claimant Lawyers(s): Michael Bessette
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 16-03064 | 09/14/2018 | Claimant(s): Vincent Farricielli
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Caeron McClintock, Edward Daigneau, John Parmigiani, Robert Costomiris, Allied Millennial Partners, EJ Sterling LLC
Respondent Lawyers(s): Caeron Arlington McClintock, Martin Unger
Arbitrator(s): Robert E. Anderson, Sheri J. Caplan, Robert M. Singer
Hearing Site: Hartford, CT
|  | $30,000 |
