| 18-03295 | 05/03/2019 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Vy Truong
Respondent Lawyers(s): Vy Truong
Arbitrator(s): Kenneth Paul Williams, Alan Gradzki, Harrison Johnson
Hearing Site: New York, NY
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| 16-02461 | 04/08/2019 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Jon Gegenheimer
Respondent Lawyers(s): Daniel Green
Arbitrator(s): Minnie Loo, Lawrence R. Mills, A. James Oakes
Hearing Site: San Francisco, CA
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| 16-01185 | 11/07/2018 | Claimant(s): John Battista
Claimant Lawyers(s): Christopher B Jones
Respondent(s): David Capin
Respondent Lawyers(s): Andrew J. Shapren
Arbitrator(s): Philip S. Cottone, Elliot B. Platt, Dolores E Trojak
Hearing Site: Philadelphia, PA
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| 17-01867 | 09/13/2018 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Darren Haines
Respondent Lawyers(s): Jonathan Sack
Arbitrator(s): Anthony J. Raimondi, Richard E. Castiglioni, Gerald M. Levine
Hearing Site: New York, NY
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| 15-03224 | 08/09/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Michael H. Gibson
Respondent(s): Gregory Fisher, Nelleen Smith, Jefferies LLC
Respondent Lawyers(s): Andrew J. Shapren
Arbitrator(s): Richard V. McGalliard, James C. Hoover, Richard Jonathan Nikonovich-Kahn
Hearing Site: Atlanta, GA
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| 15-03346 | 04/17/2017 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): John Fisher
Respondent Lawyers(s): Michael Mui
Arbitrator(s): John J. Vesey
Hearing Site: New York, NY
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| 13-02930 | 09/24/2015 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Christopher Cochrane, Donald Slye
Respondent Lawyers(s): Christopher S. Griesmeyer
Arbitrator(s): Michael F. Jordan, Dennis M. Selby, Laura Anne Lamberg
Hearing Site: Milwaukee, WI
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| 09-02897 | 01/11/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Brian Walsh, Stifel, Nicolaus & Co.., Kevin Healy
Respondent Lawyers(s): Andrew J. Shapren
Arbitrator(s): Martin Mushkin, Cheryl Feldman, Joseph R. Sahid
Hearing Site: New York, NY
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| 07-02954 | 05/07/2010 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Jack Ballard
Respondent(s): Wachovia Securities, Stifel, Nicolaus & Co.., Gene Diedrich, Michael Nielsen
Respondent Lawyers(s): Andrew J. Shapren, Jack Ballard, Kenneth C. Mennemeier, Kristina L. Cashion
Arbitrator(s): Helen Marinak Blohm, Mark R. Palmer, M. Scott Donahey
Hearing Site: San Francisco, CA
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| 06-03674 | 10/04/2007 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): A.G. Edwards & Sons., Victor DiVietro
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s):
Hearing Site: Tampa, FL
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