| 18-00493 | 09/27/2018 | Claimant(s): Christopher Lazos
Claimant Lawyers(s): Jonathan C. Uretsky
Respondent(s): Oppenheimer & Co.., Maxim Group LLC
Respondent Lawyers(s): Ian H. Hummel, John T. McGuire
Arbitrator(s): Ira S. Cure
Hearing Site: New York, NY
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| 17-03459 | 09/25/2018 | Claimant(s): Securities America.
Claimant Lawyers(s): Tyler Joseph Schubauer
Respondent(s): Oded Jacobowitz
Respondent Lawyers(s): Oded Joseph Jacobowitz
Arbitrator(s): Bryan Lane Berson
Hearing Site: New York, NY
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| 18-01234 | 09/24/2018 | Claimant(s): Anthony Domino
Claimant Lawyers(s): John Stewart
Respondent(s): Park Avenue Securities LLC
Respondent Lawyers(s): Stephen H. Broer
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
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| 16-03464 | 09/21/2018 | Claimant(s): Bart Tarulli
Claimant Lawyers(s): Bart Tarulli
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Jean C. Black, Ellyn S. Roth, Albert Rizzo
Hearing Site: New York, NY
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| 18-00645 | 09/21/2018 | Claimant(s): James Matthews
Claimant Lawyers(s): Anna Hadjikow
Respondent(s): Claudette Burgess-Gay, Stephen Gay, Global Emerging Capital Group
Respondent Lawyers(s): Claudette Y. Gay, Claudette Yvonne Burgess-Gay, Stephen Gay
Arbitrator(s): Joseph B. Russell
Hearing Site: New York, NY
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| 17-03166 | 09/21/2018 | Claimant(s): Guang Liu Ling and Anna Ling
Claimant Lawyers(s): Kai Y. Gao
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda H. Wright
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
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| 17-02924 | 09/19/2018 | Claimant(s): Weild & Co.
Claimant Lawyers(s): Elliott M. Kroll
Respondent(s): Mark Edwards Partners LLC
Respondent Lawyers(s): Thorn Rosenthal
Arbitrator(s): Robert E. Anderson, Thomas M. Flohr, Laura Wong-Pan
Hearing Site: New York, NY
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| 18-00949 | 09/19/2018 | Claimant(s): Anne Gagnon, David Rosenberg
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
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| 18-01548 | 09/19/2018 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Christopher Callagy
Respondent Lawyers(s): Christopher Rice Callagy
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
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| 18-00440 | 09/17/2018 | Claimant(s): Costa Tzotzis
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Prestige Financial Center.
Respondent Lawyers(s): Corporate Office
Arbitrator(s): Lorrie E Whitfield
Hearing Site: New York, NY
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