| 18-04449 | 12/23/2019 | Claimant(s): Marcus Kline
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Daniel M. White
Arbitrator(s): Ted M. Rosen
Hearing Site: New York, NY
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| 19-01987 | 12/20/2019 | Claimant(s): David McIlroy
Claimant Lawyers(s): Susan M. Kelleher
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
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| 18-02743 | 12/20/2019 | Claimant(s): Rochelle Taragano
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): Linda Ashley, Clarence Smith, Amy Jill Baranoff
Hearing Site: New York, NY
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| 18-04124 | 12/19/2019 | Claimant(s): Edward Cahill
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): American Capital Partners
Respondent Lawyers(s): John Gardini
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
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| 19-01647 | 12/19/2019 | Claimant(s): Lily Pirouzian
Claimant Lawyers(s): Joshua C. Klein
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Deborah Burstein
Arbitrator(s): Arthur Neil Tolciss
Hearing Site: New York, NY
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| 19-00799 | 12/16/2019 | Claimant(s): Mark Johnson
Claimant Lawyers(s): Linda D. Friedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
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| 18-02673 | 12/16/2019 | Claimant(s): Linda Stanley, Sheena Gillespie, Estate of Mary Bryce, Linda Stanley Liv. Trust, Mary Bryce Trust, Sheena Gillespie Liv. Trust
Claimant Lawyers(s): Bradford M Gucciardo
Respondent(s): Dean DiMaggio, Rachel Pino, Sandy Siff, Sean Mohammadi, Halliday Financial, Lincoln Investment
Respondent Lawyers(s): David S. Sheiffer, Jessica Levine
Arbitrator(s): Judith Fields Jurney, Jay Alan Kranis, Steven Gary Leventhal
Hearing Site: New York, NY
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| 18-00795 | 12/13/2019 | Claimant(s): Susan Greenwood
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): NatWest Markets Securities Inc.
Respondent Lawyers(s): Patrick J. Lamparello
Arbitrator(s): Martin Jay Siegel, Michael H DuBoff, Mary P. Bass
Hearing Site: New York, NY
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| 19-00355 | 12/13/2019 | Claimant(s): Michael Fornasier
Claimant Lawyers(s): Michael John Fornasier
Respondent(s): MBSC Securities Corporation
Respondent Lawyers(s): James H. Forte
Arbitrator(s): Timothy P. Kebbe, Anna Lascar, James G Paulsen
Hearing Site: New York, NY
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| 19-00716 | 12/13/2019 | Claimant(s): Jeffrey Halpert
Claimant Lawyers(s): Louis Tambaro
Respondent(s): The Jeffrey Matthews Financial Group
Respondent Lawyers(s): Stephen Cucchia
Arbitrator(s): Carol Maria Luttati
Hearing Site: New York, NY
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