| 21-00514 | 11/23/2021 | Claimant(s): Matthew Champion
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jason Snyder
Arbitrator(s): Jim Geiger, Thomas E. Webb, Francis Xavior Daumen
Hearing Site: Syracuse, NY
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| 19-02748 | 04/27/2020 | Claimant(s): Michael Hearn
Claimant Lawyers(s): Michael Christopher Hearn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Richard D. Rosenbloom, Robert E. Anderson, Francis Xavior Daumen
Hearing Site: Syracuse, NY
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| 12-01106 | 08/13/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): David Ayres
Respondent Lawyers(s): Timothy J. O'Connor
Arbitrator(s): Howard B. Cohen, Rocco Michael Scanza, Francis Xavior Daumen
Hearing Site: Syracuse, NY
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| 12-02407 | 05/08/2013 | Claimant(s): Sage, Rutty & Co..
Claimant Lawyers(s): James P. Nonkes
Respondent(s): Martin Lieber, William Boselli
Respondent Lawyers(s): Warren B. Rosenbaum
Arbitrator(s): Philip M. Marshall, Krista Gottlieb, Francis Xavior Daumen
Hearing Site: Buffalo, NY
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| 11-03222 | 01/18/2013 | Claimant(s): John Wassenaar
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): CF Global Trading
Respondent Lawyers(s): Lainie E. Cohen
Arbitrator(s): Kathleen Hoey Gorr, Katherine Levitan, Francis Xavior Daumen
Hearing Site: Buffalo, NY
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