| 22-00709 | 11/07/2022 | Claimant(s): Robert Krieger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Clive I. Morrick
Hearing Site: New York, NY
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| 21-02996 | 11/04/2022 | Claimant(s): Sameh Elmazahy
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Charlton Young
Arbitrator(s): Bryan Lane Berson, Lorrie E Whitfield, Lynda Kommel-Browne
Hearing Site: New York, NY
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| 22-00481 | 11/03/2022 | Claimant(s): Neil Gagnon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Gilder Gagnon Howe & Co. LLC
Respondent Lawyers(s): Elizabeth Curran
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
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| 20-01536 | 11/01/2022 | Claimant(s): Joseph Hardoon
Claimant Lawyers(s): Eliott Berman
Respondent(s): Edward Jones, Janice Hardoon, Thomas D'Arcangelo
Respondent Lawyers(s): David B. Felsenthal, Joseph N. Nguyen
Arbitrator(s): Martin L. Feinberg, Karen Isabel Bedrosian - Richardson, Paul C. Tang
Hearing Site: New York, NY
|  | Expungement |
| 22-00173 | 10/31/2022 | Claimant(s): Stuart Updegrove
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation, Eastbrook Capital Group LLC
Respondent Lawyers(s): Edward Sampson, Emily A. Hayes
Arbitrator(s): Eugene G. P. Byrne, Mark Joseph Hyland
Hearing Site: New York, NY
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| 22-00786 | 10/31/2022 | Claimant(s): Robert Tansey
Claimant Lawyers(s): Frederic M. Krieger
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Leyla Bari
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
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| 21-00274 | 10/28/2022 | Claimant(s): Thomas Krauss
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): James McQuade
Arbitrator(s): Camille S. Cooper, Kenneth Paul Williams, Karen J. Orlin
Hearing Site: New York, NY
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| 22-00050 | 10/26/2022 | Claimant(s): Deon Jackson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): William E. Nuckel
Hearing Site: New York, NY
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| 22-00427 | 10/26/2022 | Claimant(s): Brian Gagnon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Gilder Gagnon Howe & Co. LLC
Respondent Lawyers(s): Elizabeth Curran
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
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| 20-01821 | 10/25/2022 | Claimant(s): Kirk Katzburg
Claimant Lawyers(s): Richard L. Herzfeld
Respondent(s): Frank Masiello, Thea D'Adamo, Trademas Inc.
Respondent Lawyers(s): George Brunelle, Robert A. Giacovas
Arbitrator(s): Jill Pilgrim, Anna M. Fanelli, Joseph M. Buffone
Hearing Site: New York, NY
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