| 23-02348 | 11/13/2024 | Claimant(s): Ciara Wohlgemuth
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Stuart K. Furman
Hearing Site: Columbia, SC
| | |
| 23-02709 | 09/06/2024 | Claimant(s): Anthony Jezek
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John Murphy, Kathryn D. Perreault
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Oklahoma City, OK
| | |
| 23-02860 | 08/30/2024 | Claimant(s): Paul Padovani
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Morgan Stanley, Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christopher M. Sacco, Kathryn D. Perreault, Trae D. Meyr
Arbitrator(s): Linda J. Baer
Hearing Site: New York, NY
| | |
| 23-01293 | 03/15/2024 | Claimant(s): Nico Sethi
Claimant Lawyers(s): Everett Pritchard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): George Forest Bingham
Hearing Site: Philadelphia, PA
| | |
| 22-02768 | 02/15/2024 | Claimant(s): Patrick Dwyer
Claimant Lawyers(s): Daniel Zinman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Robert G. Falbisaner
Hearing Site: Boca Raton, FL
| | |
| 21-00345 | 02/07/2024 | Claimant(s): David Ingle
Claimant Lawyers(s): Owen Harnett
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | |
| 23-01852 | 12/21/2023 | Claimant(s): Dario Ochoa
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | |
| 23-01763 | 11/21/2023 | Claimant(s): Mark Hopper
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Gerald Silverman
Hearing Site: Boca Raton, FL
| | |
| 23-01422 | 11/10/2023 | Claimant(s): Andrew Rodriguez
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): John P. Cullem
Hearing Site: Jacksonville, FL
| | |
| 22-01027 | 05/12/2023 | Claimant(s): Daniel Dong
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ernst & Young Capital Advisors
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Morton S. Bunis
Hearing Site: New York, NY
| | |
