| 21-01519 | 03/25/2022 | Claimant(s): Ian Fuller
Claimant Lawyers(s): Ronald D. Shindler
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
| | |
| 20-03921 | 03/25/2022 | Claimant(s): Nicholas Packer, Hove Investments Holding Limited
Claimant Lawyers(s): Brendan J. O'Rourke
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Eugene G. P. Byrne, Nicholas M. Herubin, Samuel Philip Gunther
Hearing Site: New York, NY
|  | Expungement |
| 21-01919 | 03/24/2022 | Claimant(s): Timothy Hilton
Claimant Lawyers(s): Coren H. Stern
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Edmund Timothy Donovan
Hearing Site: New York, NY
| | |
| 21-00791 | 03/23/2022 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Sarah E. Klein
Respondent(s): Christopher Corwin
Respondent Lawyers(s): Denis Kelleher
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
| | |
| 21-01889 | 03/21/2022 | Claimant(s): Christopher Bond
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Ira A. Auerbach
Hearing Site: New York, NY
| | |
| 21-02577 | 03/16/2022 | Claimant(s): John Eversgerd, Viktor Prozapas, Ettinger Family Trust
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Lawrence Fawcett, Shawn Burns
Respondent Lawyers(s): Lawrence John Fawcett, Shawn Evan Burns
Arbitrator(s): Rory M. McLaughlin
Hearing Site: New York, NY
| | $732,617 |
| 21-02194 | 03/15/2022 | Claimant(s): Albert Prisco
Claimant Lawyers(s): Albert Joseph Prisco
Respondent(s): Federated Securities.
Respondent Lawyers(s): Denise Goldsmith
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
| | |
| 19-03676 | 03/14/2022 | Claimant(s): Jayme Fowler
Claimant Lawyers(s): Andrew R. Harvin
Respondent(s): Invesco Distributors., Oppenheimerfunds Distributor.
Respondent Lawyers(s): Adam M. Harris
Arbitrator(s): Peter A. Goldman, Barry Steven Port, William Marsillo
Hearing Site: New York, NY
| | |
| 21-01920 | 03/11/2022 | Claimant(s): Alicia Hinojosa Gutierrez
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Judith C. Zerden, Phillip Weitzman, Serge Krimnus
Hearing Site: New York, NY
| | |
| 21-02381 | 03/09/2022 | Claimant(s): Jason Sardo
Claimant Lawyers(s): Brian Luther
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Elizabeth R. Aylett
Arbitrator(s): Wallace Anthony Showman
Hearing Site: New York, NY
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