| 19-02180 | 10/19/2020 | Claimant(s): Amanda B. Straight Revocable Trust
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): John F. Duane, Gerald H. Grayson, Patricia Kathleen Costello
Hearing Site: New York, NY
|  | $0 |
| 20-00592 | 10/16/2020 | Claimant(s): Dominick Dibona
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | |
| 19-03547 | 10/08/2020 | Claimant(s): Anthony Becker
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Great American Advisors., Lincoln Investment
Respondent Lawyers(s): Jessica Levine, Peter J. Nerone
Arbitrator(s): Daniel Adam Schlein, Joanne Basso Mack, Steven C. Kasarda
Hearing Site: New York, NY
| | |
| 20-00233 | 10/08/2020 | Claimant(s): Xiaofeng Hu
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
| | |
| 20-00769 | 10/07/2020 | Claimant(s): Jose Miranda
Claimant Lawyers(s): Edward Gonzalez
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Kathryn Bartolomucci
Arbitrator(s): Steven J. Glusband, James M. Rhodes, Sofia Balile
Hearing Site: New York, NY
| | Dismissed |
| 19-02160 | 10/06/2020 | Claimant(s): Donald Chiert
Claimant Lawyers(s): Christopher J. Albanese
Respondent(s): Fidelity Brokerage Services LLC, William Fleming
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | Settlement |
| 20-01210 | 09/29/2020 | Claimant(s): Andoni Yturralde
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | |
| 20-00683 | 09/25/2020 | Claimant(s): E. Johnson
Claimant Lawyers(s): Kaitlin Brown
Respondent(s): McBarron Capital LLC
Respondent Lawyers(s): Dino Apostolides
Arbitrator(s): Jill Pilgrim, Jay L. Zelesnick, Betty Chen
Hearing Site: New York, NY
| | |
| 20-01184 | 09/25/2020 | Claimant(s): Michael Lackwood
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Nicola A. Murphy
Arbitrator(s): Michael S. Lazan
Hearing Site: New York, NY
| | |
| 20-00884 | 09/24/2020 | Claimant(s): Robert Franchini
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
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