| 20-00510 | 03/08/2021 | Claimant(s): Jorge Silva
Claimant Lawyers(s): Brad S. Maistrow
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Patricia Kathleen Costello
Hearing Site: New York, NY
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| 20-02064 | 03/08/2021 | Claimant(s): David Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Jeff Palmer
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
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| 19-03389 | 03/05/2021 | Claimant(s): Allied Millennial Partners LLC
Claimant Lawyers(s): Robert M. Bursky
Respondent(s): John Raho
Respondent Lawyers(s): Stuart N. Kaplan
Arbitrator(s): Howard Alan Grinsberg
Hearing Site: New York, NY
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| 20-00007 | 03/05/2021 | Claimant(s): Ruth Hallett
Claimant Lawyers(s): Ruth Hallett
Respondent(s): Martin Moy, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
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| 19-02249 | 03/04/2021 | Claimant(s): Christopher Rollins
Claimant Lawyers(s): Seth Redniss
Respondent(s): Goldman, Sachs and Company, James Esposito, Goldman Sachs Group Inc, Goldman Sachs International, Goldman Sachs Services Limited
Respondent Lawyers(s): Theodore O. Rogers
Arbitrator(s): Brian Ken Kawakami, Richard W. Cutler, Shelley Teitelbaum
Hearing Site: New York, NY
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| 19-03719 | 03/03/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Tracey Salmon-Smith
Respondent(s): Mark Boccuzzi
Respondent Lawyers(s): Jeremy L. Bartell
Arbitrator(s): David S. Billet, Charles L. Henderson, Joseph I. Liebman
Hearing Site: New York, NY
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| 20-00804 | 03/02/2021 | Claimant(s): Zhi Li
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): David Hantman
Arbitrator(s): Joseph I. Liebman
Hearing Site: New York, NY
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| 20-01929 | 03/02/2021 | Claimant(s): James Lombardo
Claimant Lawyers(s): James E. Heavey
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Brian John Gallagher, Peter E. Gillespie, Steven Gargiulo
Hearing Site: New York, NY
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| 20-02043 | 03/02/2021 | Claimant(s): Andrew Urbanski
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
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| 19-01411 | 03/01/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Vince Glenn
Respondent Lawyers(s): Kevin T. Duffy
Arbitrator(s): John Carl Cirincion, Mary Julia O'Connell, Albert Rizzo
Hearing Site: New York, NY
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