| 21-00203 | 08/21/2023 | Claimant(s): Karen Busch
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Benjamin L. Anderson, Howard Alan Grinsberg, Qiana Martin
Hearing Site: New York, NY
|  | $1,800,000 |
| 23-00210 | 08/21/2023 | Claimant(s): Jon Newman
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Cutler, Jay Alan Kranis, Lynda Kommel-Browne
Hearing Site: New York, NY
| | |
| 23-00237 | 08/18/2023 | Claimant(s): Christopher Ortiz
Claimant Lawyers(s): Seth N. Bursky
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Madelyn A. Levy, Jeanne M. Keefe, Denise Sagua
Hearing Site: New York, NY
| | |
| 23-00071 | 08/17/2023 | Claimant(s): Korsa Nzidee
Claimant Lawyers(s): Joseph P. Allgor
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY
| | |
| 23-00715 | 08/16/2023 | Claimant(s): Hector Gongora
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Byron Crowe
Arbitrator(s): Anthony Marchese, Susan C Lushing, Evdokia Sofos
Hearing Site: New York, NY
| | |
| 22-02915 | 08/11/2023 | Claimant(s): Joshua Lercher
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
| | |
| 23-00432 | 08/07/2023 | Claimant(s): Peter Klein
Claimant Lawyers(s): David I. Hantman
Respondent(s): Hightower Securities
Respondent Lawyers(s): Paul Wascher
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | |
| 20-00608 | 07/21/2023 | Claimant(s): Amy Johnson
Claimant Lawyers(s): Elizabeth W. Swedock
Respondent(s): James Henry, Richard Lukaj, The Bank Street Group LLC
Respondent Lawyers(s): David S. Monastersky
Arbitrator(s): Walter D Goldsmith, Ivan W. Harper, Noah Jonathan Hanft
Hearing Site: New York, NY
| | |
| 22-02161 | 07/21/2023 | Claimant(s): Jeffrey Wechsler
Claimant Lawyers(s): Jeffrey D. Wechsler
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Denise L. Quarles, Robert Elliot Harrison, Nancy Marie Thevenin
Hearing Site: New York, NY
| | $7,647 |
| 20-01388 | 07/21/2023 | Claimant(s): Gennadii Bilitch
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Ted M. Rosen, John Caracciolo, Joan Patricia Beck-Wall
Hearing Site: New York, NY
| | $0 |
