| 23-01662 | 08/15/2024 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Anthony Paul, Nicholas Hamilton
Respondent Lawyers(s): Kevin D. Galbraith
Arbitrator(s): Joseph M. Costello, Michael J Norton, Rick Gale Doty
Hearing Site: Denver, CO
| | |
| 23-02406 | 02/15/2024 | Claimant(s): Jeanmarie LaBonte
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Briana Al Taqatqa
Arbitrator(s): Ronald Chun
Hearing Site: San Francisco, CA
| | |
| 23-01403 | 01/08/2024 | Claimant(s): Brian Griffin
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael Rowe
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Buffalo, NY
| | |
| 22-01442 | 04/14/2023 | Claimant(s): James Malloch
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Jeanette E. Dennis
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
| | |
| 21-01577 | 06/23/2022 | Claimant(s): Marko Gnann
Claimant Lawyers(s): Robert Volynsky
Respondent(s): Donovan Mannato, Morgan Stanley, Wells Fargo Clearing Services
Respondent Lawyers(s): Abigail Elrod, Andrew W. Sidman, Kevin D. Galbraith
Arbitrator(s): Sandra J. Mullings, Marion F. Posner, Vaughn Norman Browne
Hearing Site: New York, NY
|  | Dismissed by Rule 12206 |
| 18-01448 | 08/11/2021 | Claimant(s): Patrick Mullen
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): Key Investment Services LLC
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Elliot B. Platt, Diane Ciccone, Christopher Robert Madel
Hearing Site: Philadelphia, PA
| | |
| 17-02796 | 04/03/2019 | Claimant(s): Mark Connelly
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): Clsa Americas
Respondent Lawyers(s): Barbara M. Roth
Arbitrator(s): Philip M. Mandel, Pamela H. Roderick, Martin L. Feinberg
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
| | |
| 16-01029 | 03/09/2017 | Claimant(s): Zachary Hepner
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): Chimera Securities
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Stephen A. Weiner
Hearing Site: New York, NY
| | |
| 14-03666 | 08/27/2015 | Claimant(s): Arthur Storniola
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): M.D. Sass Securities, L.L.C.
Respondent Lawyers(s): Barry S. Pollack
Arbitrator(s): Martin A. Edelstein, Sam Antar, Alan Robert Sacks
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
