| 18-00162 | 09/17/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Joseph Shimko
Respondent Lawyers(s): Christopher Kammerer
Arbitrator(s): Ellen J. Abrams, Thomas W. Allen, William Dennis Ferguson
Hearing Site: Boca Raton, FL
| | |
| 19-00835 | 09/13/2019 | Claimant(s): Austin Frye
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplan
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
| | |
| 18-04087 | 09/13/2019 | Claimant(s): Carlos Martinangeli
Claimant Lawyers(s): David C. Silver
Respondent(s): Gonzalo Perez-Verdia, Citigroup Global Markets.
Respondent Lawyers(s): Scott W. Atherton
Arbitrator(s): Robert G. Geeseman, Linda M. Foster-Wells, Paul J. Burkhart
Hearing Site: Boca Raton, FL
|  | $0 |
| 19-00160 | 09/11/2019 | Claimant(s): Riad Shanawany
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Gerry A. Giurato
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | |
| 19-00019 | 09/10/2019 | Claimant(s): Francesco Traina
Claimant Lawyers(s): Michelle M. Atlas
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
| | |
| 18-04064 | 09/09/2019 | Claimant(s): Michael Varga
Claimant Lawyers(s): Michael Varga
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Candice M. Capoziello
Arbitrator(s): Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | |
| 18-04054 | 09/06/2019 | Claimant(s): Brian Lombardi
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): IAA Financial
Respondent Lawyers(s): David Weinberger
Arbitrator(s): Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | |
| 19-01398 | 09/06/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Travis Chapin
Respondent(s): David Kraft
Respondent Lawyers(s): David Wayne Kraft
Arbitrator(s): Bernard A. Becker
Hearing Site: Boca Raton, FL
| | |
| 19-00181 | 08/29/2019 | Claimant(s): Gary Burwick
Claimant Lawyers(s): Matthew E. Wolper
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Maggie Goetze
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | |
| 18-01779 | 08/23/2019 | Claimant(s): George Arthur
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Worden Capital Management
Respondent Lawyers(s): Michael C. Farkas
Arbitrator(s): Mark C. Perry, Sydney E. Blum, Thomas W. Allen
Hearing Site: Boca Raton, FL
| | $0 |
