| 20-02908 | 03/24/2021 | Claimant(s): Mamode Oozeerall Oozeerally
Claimant Lawyers(s): Jennifer Burke
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Mitra E. Niknam
Arbitrator(s): Robert E. Anderson
Hearing Site: Jersey City, NJ
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| 20-03629 | 03/17/2021 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Michael E. Rowe
Respondent(s): John Ebanietti
Respondent Lawyers(s): John B. Ebanietti
Arbitrator(s): Robert E. Anderson
Hearing Site: Jersey City, NJ
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| 19-00007 | 03/09/2021 | Claimant(s): Susan Cable, Estate of Graham M. Polonsky
Claimant Lawyers(s): Alexander Aron Flig
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Samuel H. Chorches, Robert E. Anderson, Denise L. Presley
Hearing Site: Boston, MA
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| 19-03818 | 02/03/2021 | Claimant(s): Daniel Katz
Claimant Lawyers(s): David I. Hantman
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Nicola A. Murphy
Arbitrator(s): Michael H DuBoff, Robert E. Anderson, Richard Morse
Hearing Site: Jersey City, NJ
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| 20-02448 | 01/29/2021 | Claimant(s): Brian Schiller
Claimant Lawyers(s): Amy B. Bard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
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| 20-01362 | 01/26/2021 | Claimant(s): Safet Musovic
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): LPL Financial LLC, Santander Securities LLC
Respondent Lawyers(s): N. Nancy Ghabai, Sara B. Davis
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
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| 20-02280 | 01/22/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Christopher Wright
Respondent Lawyers(s): Christopher Thomas Wright
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
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| 20-01426 | 01/13/2021 | Claimant(s): James Dy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Robert E. Anderson
Hearing Site: Jersey City, NJ
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| 19-02188 | 01/08/2021 | Claimant(s): Sandra Etienne
Claimant Lawyers(s): Locksley O. Wade
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Anna Matsuo
Arbitrator(s): Madelon M. Rosenfeld, Robert E. Anderson, Roger B. Jacobs
Hearing Site: New York, NY
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| 20-01015 | 12/17/2020 | Claimant(s): Richard Braverman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation, Geneos Wealth Management.
Respondent Lawyers(s): James Noblett, Victoria H. Buter
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
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