| 21-00720 | 10/07/2021 | Claimant(s): Tomoe Odahara
Claimant Lawyers(s): Jordan D. Becker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Susan C Lushing, Annamaria Boccia Smith, Mark Peter Haslinger
Hearing Site: New York, NY
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| 20-02545 | 04/14/2021 | Claimant(s): John Caroli
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
| | |
| 18-03924 | 02/07/2020 | Claimant(s): Hayes Miller
Claimant Lawyers(s): Gregg J. Breitbart
Respondent(s): Morgan Stanley, Stephens
Respondent Lawyers(s): Jana Kim Fowler, Joseph A. Sack
Arbitrator(s): Susan C Lushing, Josian Antoine, Patricia A Hussey
Hearing Site: New York, NY
| | |
| 18-02246 | 01/06/2020 | Claimant(s): Kevin Yang
Claimant Lawyers(s): David E. Robbins
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Scarlett L. Freeman
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
| | |
| 19-01316 | 11/20/2019 | Claimant(s): Michael Murphy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Commerce One Financial Inc.
Respondent Lawyers(s): Thomas J. Jennings
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
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| 19-00627 | 10/09/2019 | Claimant(s): Alan Rosenberg
Claimant Lawyers(s): Stephen J. Ginsberg
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Stanton A. Fears
Arbitrator(s): Susan C Lushing, Susan Romano, Michael I Stolzar
Hearing Site: New York, NY
| | |
| 18-03094 | 08/09/2019 | Claimant(s): Alan Green, David Robert, Jonathan Staiman, Vincent Miller, William Miller
Claimant Lawyers(s): Michael A. Balascio
Respondent(s): Bertram Riley, Petersen Investments.
Respondent Lawyers(s): Louis D. Tambaro
Arbitrator(s): Susan C. Lushing, Cheryl H. Agris, Stephen J. Patti
Hearing Site: New York, NY
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| 18-04248 | 06/12/2019 | Claimant(s): Yatin Sampat
Claimant Lawyers(s): Yatin Sampat
Respondent(s): Barclays Capital Inc., optionsXpress.
Respondent Lawyers(s): David G. Russell, Joseph L. Siders
Arbitrator(s): Susan C. Lushing, Marguerite B. Filson, Keely D. Parr
Hearing Site: New York, NY
|  | Dismissed by Rule 12206/12504 |
| 17-01993 | 03/19/2019 | Claimant(s): Adam Kaplan, Daniel Kaplan
Claimant Lawyers(s): John D. Singer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Susan C. Lushing, Joseph I. Liebman, Lynnette Rich
Hearing Site: New York, NY
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| 18-00292 | 11/29/2018 | Claimant(s): Damany Henry
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Eastbrook Capital Group LLC
Respondent Lawyers(s): Legal Department or Compliance Officer
Arbitrator(s): Susan C. Lushing
Hearing Site: New York, NY
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