| 20-01215 | 12/16/2020 | Claimant(s): Michael Schwartz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
| | |
| 20-02274 | 12/10/2020 | Claimant(s): Carlos Baena
Claimant Lawyers(s): Carlos E. Baena
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): David S. Billet
Hearing Site: New York, NY
|  | $0 |
| 20-00947 | 12/08/2020 | Claimant(s): Daniel Fred
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 20-00957 | 12/04/2020 | Claimant(s): Maurice Acriche
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Annette K. Ebright
Arbitrator(s): Selma Moy
Hearing Site: New York, NY
| | |
| 20-01078 | 12/04/2020 | Claimant(s): Paul Colchamiro
Claimant Lawyers(s): Irwin Weltz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
| | |
| 18-03984 | 12/04/2020 | Claimant(s): Larry Schmalz, Robin Schmalz
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): David Spratt, Joseph Amato, Kujtim Lulani, Michael Castillero, Rocco Guidicipietro, Thomas Sullivan, Alexander Capital, L.P.
Respondent Lawyers(s): Lawrence R. Gelber, Scott Holcomb
Arbitrator(s): Royce Russell, Gerald M. Levine, Peter E. Gillespie
Hearing Site: New York, NY
| | Settlement |
| 20-00943 | 12/02/2020 | Claimant(s): Elliot Sherer
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Timothy Treble
Arbitrator(s): A. Rene Hollyer
Hearing Site: New York, NY
| | |
| 20-01265 | 12/01/2020 | Claimant(s): Dean Giella
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 20-01670 | 11/25/2020 | Claimant(s): Yan Binder
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Nicola Anne Murphy
Arbitrator(s): Richard W. Cutler, Ellen Slipp, John Franklin Udochi
Hearing Site: New York, NY
| | |
| 18-02740 | 11/25/2020 | Claimant(s): Finitive LLC, North Capital Private Securities Corpora
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): CleanCapital LLC, Jon Barlow Advisory LLC
Respondent Lawyers(s): Kimberly A. Havlin, Martin H. Kaplan
Arbitrator(s): Michael J. Maran, Camille S. Cooper, Ronald Harris Kisner
Hearing Site: New York, NY
| | $0 |
