| 17-02587 | 09/02/2021 | Claimant(s): Richard Roe
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Joanne M.F. Wilcomes
Arbitrator(s): Thomas M. Madden, Lorrie E Whitfield, Louis Arnold Russo
Hearing Site: New York, NY
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| 21-00199 | 09/02/2021 | Claimant(s): John Lowry
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Spartan Capital Securities
Respondent Lawyers(s): Kim Monchik
Arbitrator(s): Elizabeth Gilbert, Christine Meiers Schatz, Marc Adam Sherman
Hearing Site: New York, NY
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| 19-03738 | 08/30/2021 | Claimant(s): Evan K. Halperin Revocable Living Trust
Claimant Lawyers(s): Barry A. Furman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mauricio Beugelmans
Arbitrator(s): William G. Binckes, Annamaria Boccia Smith, Hashim Ghadiali
Hearing Site: New York, NY
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| 19-02819 | 08/27/2021 | Claimant(s): Timothy Zeng
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Anna Matsuo
Arbitrator(s): Joseph J. Arata, Richard W. Cutler, Bertrand Charles Sellier
Hearing Site: New York, NY
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| 18-03877 | 08/26/2021 | Claimant(s): Michael Gardner
Claimant Lawyers(s): Daniel Branower
Respondent(s): Cantor Fitzgerald Europe, Cantor Fitzgerald Investment Advisors LP
Respondent Lawyers(s): Nirav S. Shah
Arbitrator(s): Walter Arthur Saurack, Phillip Weitzman, Nancy Marie Thevenin
Hearing Site: New York, NY
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| 20-02404 | 08/26/2021 | Claimant(s): Levant Bishop
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Dalton Kent Securities Group.
Respondent Lawyers(s): Edward Olson
Arbitrator(s): John Michael Bergin
Hearing Site: New York, NY
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| 20-03931 | 08/25/2021 | Claimant(s): Jaime Carvallo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Park Sutton Advisors
Respondent Lawyers(s): Robert A. Giacovas
Arbitrator(s): Kent L. Benziger
Hearing Site: New York, NY
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| 21-00121 | 08/25/2021 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Kim M. Monchik
Respondent(s): Albert Aviles
Respondent Lawyers(s): Albert Aviles
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
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| 20-03146 | 08/23/2021 | Claimant(s): Stuart Updegrove
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Ira A. Auerbach
Hearing Site: New York, NY
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| 20-02713 | 08/19/2021 | Claimant(s): Roger Monteforte
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Brauer & Associates., Joseph Gunnar & Co. LLC
Respondent Lawyers(s): Gerald Brauer, Peter Bon Viso
Arbitrator(s): Susan Romano
Hearing Site: New York, NY
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