21-03093 | 06/23/2022 | Claimant(s): Cambridge Investment Research. Claimant Lawyers(s): Jeanette E. Dennis Respondent(s): Leo Vassallo Respondent Lawyers(s): Joshua A. Katz Arbitrator(s): Patrick R. Westerkamp Hearing Site: Syracuse, NY
| | |
19-01455 | 04/06/2022 | Claimant(s): James Novak Claimant Lawyers(s): Terry J. Kirwan Respondent(s): Charles Schwab & Co.., Herbert Reilly, HFR Investment Advisory Services Respondent Lawyers(s): David G. Burch, Kevin H. Lewis Arbitrator(s): Patrick M. Markey, Denise L. Presley, Kenneth Dymond Hearing Site: Syracuse, NY
| | $0 |
21-01524 | 02/04/2022 | Claimant(s): Dennis Coughlin Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): Equitable Advisors Respondent Lawyers(s): Michael J. Biondi Arbitrator(s): Diane Ciccone Hearing Site: Syracuse, NY
| | |
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
| | |
20-00478 | 11/02/2021 | Claimant(s): Christine Kearney Claimant Lawyers(s): Stuart E. Finer Respondent(s): LPL Financial LLC, Gregory Kearney Respondent Lawyers(s): Tracey Salmon-Smith Arbitrator(s): Mark H. Stein, Douglas A. Eldridge, Ronald F Thompson Hearing Site: Syracuse, NY
| | $0 |
20-02772 | 10/01/2021 | Claimant(s): Kenneth Arellano Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Tracey Salmon-Smith Arbitrator(s): Robert J. Ambrogi Hearing Site: Syracuse, NY
| | |
20-03361 | 08/13/2021 | Claimant(s): Kenneth Arellano Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Tracey Salmon-Smith Arbitrator(s): John Francis Markuns Hearing Site: Syracuse, NY
| | |
20-03106 | 04/16/2021 | Claimant(s): George Koulouris Claimant Lawyers(s): Jennifer P. Farrar Respondent(s): Keybanc Capital Markets Inc. Respondent Lawyers(s): Halden R. Schwallie Arbitrator(s): Stuart M. Schwartz Hearing Site: Syracuse, NY
| | |
20-00995 | 12/10/2020 | Claimant(s): Matthew Dauksza Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Pruco Securities. Respondent Lawyers(s): Anthony Paduano Arbitrator(s): John James McGovern Hearing Site: Syracuse, NY
| | |
15-03140 | 10/30/2020 | Claimant(s): Michael Magno Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Morgan Stanley Respondent Lawyers(s): Abigail Elrod Arbitrator(s): Karimu F. Hill-Harvey, Robert E. Anderson, Adam S. King Hearing Site: Syracuse, NY
| | $0 |