| 24-00249 | 07/15/2024 | Claimant(s): Kevin Houser
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): LPL Financial LLC, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier, Jon D. Kaplon
Arbitrator(s): Nancy E. Watters, Daniel James Kortum, Mark A Bilawsky
Hearing Site: Philadelphia, PA
| | |
| 23-02177 | 06/20/2024 | Claimant(s): Zhanling Liu
Claimant Lawyers(s): W Scott Greco
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jovalin Dedaj
Arbitrator(s): Nancy E. Watters
Hearing Site: Washington, DC
|  | $65,322 |
| 23-00333 | 01/08/2024 | Claimant(s): Brian Gardiner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cabot Lodge Securities LLC
Respondent Lawyers(s): James Baehr
Arbitrator(s): Nancy E. Watters
Hearing Site: Baltimore, MD
| | |
| 23-00811 | 11/21/2023 | Claimant(s): Bernard Mahon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Nancy E. Watters
Hearing Site: Washington, DC
| | |
| 21-02607 | 10/26/2022 | Claimant(s): Constantine Matsakis
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Matthew I. Penfield
Arbitrator(s): Nancy E. Watters, John L. Bruch, Cherelle K Donaldson
Hearing Site: Baltimore, MD
| | |
| 18-03812 | 01/03/2020 | Claimant(s): NEXT Financial Group.
Claimant Lawyers(s): Todd Ratner
Respondent(s): Erryn Barkett
Respondent Lawyers(s): James C. Cosby
Arbitrator(s): Nancy E. Watters
Hearing Site: Richmond, VA
| | |
| 18-01896 | 12/03/2018 | Claimant(s): William Blake
Claimant Lawyers(s): John R. Snyder
Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Deirdre Wolff, Sarah K. Yates
Arbitrator(s): Nancy E. Watters
Hearing Site: Washington, DC
| | |
| 16-02243 | 11/28/2017 | Claimant(s): Nicholas Durso, Samuel Solondz
Claimant Lawyers(s): David F. McComb
Respondent(s): PNC Investments
Respondent Lawyers(s): Gary Lieberman
Arbitrator(s): Nancy E. Watters
Hearing Site: Washington, DC
| | |
| 15-02399 | 11/21/2016 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): G. Wayne Hillis
Respondent(s): Joseph Perta
Respondent Lawyers(s): David Lee
Arbitrator(s): Nancy E. Watters, Lisa Blunk Johnson, Glenn Hiram Stephens
Hearing Site: Washington, DC
| | |
| 14-00959 | 11/09/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Jeffrey Gianelli
Respondent Lawyers(s): Jeffrey J. Gianelli
Arbitrator(s): Nancy E. Watters
Hearing Site: Boston, MA
| | |
