| 18-03912 | 11/22/2019 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Jeffrey Raphael
Respondent Lawyers(s): Robert L. Herkovits
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
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| 19-01316 | 11/20/2019 | Claimant(s): Michael Murphy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Commerce One Financial Inc.
Respondent Lawyers(s): Thomas J. Jennings
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
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| 19-00882 | 11/19/2019 | Claimant(s): G. Diddel
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Parkland Securities
Respondent Lawyers(s): Randolph F. Pistor
Arbitrator(s): Albert Rizzo
Hearing Site: New York, NY
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| 18-02730 | 11/15/2019 | Claimant(s): Rahul Mahajan
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Cameron Smith
Arbitrator(s): Howard J. Stiefel, Martin A. Edelstein, Eila Matt
Hearing Site: New York, NY
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| 18-02418 | 11/15/2019 | Claimant(s): Steven Bender
Claimant Lawyers(s): Steven L. Bender
Respondent(s): Dominick & Dickerman LLC
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Keely D. Parr, Anna Lascar, John Warner Lowe
Hearing Site: New York, NY
|  | Dismissed by Rule 12206/12504 |
| 17-01406 | 11/14/2019 | Claimant(s): Mark Sullivan, Richard Dellarusso
Claimant Lawyers(s): Robert R. Miller
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Stephen M. Kramarsky
Arbitrator(s): Mary Lou McGanney, Robert E. Anderson, Jay F. Frascella
Hearing Site: New York, NY
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| 19-00353 | 11/13/2019 | Claimant(s): Peter Klein
Claimant Lawyers(s): David J. Butler
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Richard W. Cutler, Howard D. Jacob, Emily M. Altman
Hearing Site: New York, NY
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| 19-01188 | 11/11/2019 | Claimant(s): Donald Weaver
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
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| 18-00449 | 11/08/2019 | Claimant(s): Isabel Katzin IRA, Richard Katzin IRA, Richard & Isabel Katzin
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Wells Fargo Clearing Services, Robert Greene
Respondent Lawyers(s): Demian Betz
Arbitrator(s): Annamaria Boccia Smith, Arthur M. Schoenberger, Kent L. Benziger
Hearing Site: New York, NY
| | $0 |
| 19-01330 | 11/05/2019 | Claimant(s): Michael Murphy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
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