| 18-03754 | 02/19/2020 | Claimant(s): David and Linda Watts JTWROS
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): Brian Wurdemann, Morgan Stanley, UBS Financial Services Inc.
Respondent Lawyers(s): Adam Kauff, Anthony J. Borrelli, Brian M. Wurdemann
Arbitrator(s): Philip Levine, Catherine Stewart, Bryan David Glass
Hearing Site: Newark, NJ
|  | $175,000 |
| 19-01682 | 01/13/2020 | Claimant(s): Paul Carpenter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Eric J. Chartan
Arbitrator(s): Catherine Stewart
Hearing Site: Pittsburgh, PA
| | |
| 18-01549 | 10/08/2019 | Claimant(s): Justina Manko
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): Wells Fargo Advisors Financial Network, Thomas Gasbarre
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Catherine Stewart, Mae A. Brudner, Thomas M. Madden
Hearing Site: Hartford, CT
| | $0 |
| 18-04425 | 08/01/2019 | Claimant(s): Kenneth Levene
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Catherine Stewart
Hearing Site: Newark, NJ
| | |
| 16-02890 | 06/04/2019 | Claimant(s): John Cottam
Claimant Lawyers(s): Derrelle Janey
Respondent(s): Alexander Kibrik, Global Emerging Capital Group
Respondent Lawyers(s): Alexander Kibrik, Claudette Burgess Gay
Arbitrator(s): Catherine Stewart, Peter L. Michaelson, Joseph Michael Dougherty
Hearing Site: Newark, NJ
| | Dismissed by Rule 12212(c) |
| 18-01019 | 11/21/2018 | Claimant(s): Harris Nydick
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Andrea Shafer
Arbitrator(s): Catherine Stewart
Hearing Site: Newark, NJ
| | |
| 18-01127 | 11/14/2018 | Claimant(s): Jared Friedman
Claimant Lawyers(s): Jared Scott Friedman
Respondent(s): IFS Securities
Respondent Lawyers(s): J. Thomas Sadler
Arbitrator(s): Catherine Stewart, Stanley M. Lenkowicz, Sylvia Kaminsky
Hearing Site: Newark, NJ
| | |
| 16-01317 | 11/07/2018 | Claimant(s): Urszula Thompson
Claimant Lawyers(s): Thomas P. Kelly
Respondent(s): Richard Muhlberg, Metis Advisors
Respondent Lawyers(s): Alan Gilmore
Arbitrator(s): Catherine Stewart, Jane Tam, Carrie L. Chelko
Hearing Site: Wilmington, DE
| | $17,900 |
| 17-01868 | 09/13/2018 | Claimant(s): Ginger Chapin, Lionel Dupont, Steven Dupont, Eva M. Duponte Revocable Trust, Lionel V. Duponte Revocable Trust
Claimant Lawyers(s): Ginger Dupont
Respondent(s): Pruco Securities., MML Investors Services
Respondent Lawyers(s): Andrew S. Azarmi, Julie E. Ravis
Arbitrator(s): Robert Titus, Catherine Stewart, Michael P. Breton
Hearing Site: Hartford, CT
| | Dismissed by Rule 12206 |
| 16-03235 | 07/12/2018 | Claimant(s): Aeon/Aeon Holding
Claimant Lawyers(s): Demetrios Pavlou
Respondent(s): Mitchell Manoff, Pamela Calabrese, Richard Calabrese, Corinthian Partners, L.L.C.
Respondent Lawyers(s): Daniel J. Dugan
Arbitrator(s): Catherine Stewart, Robert E. Anderson, Stanley M. Lenkowicz
Hearing Site: Newark, NJ
| | $60,000 |
