| 19-03045 | 06/17/2020 | Claimant(s): Evan Taub
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): John Thomas Financial
Respondent Lawyers(s): Maria Cummings
Arbitrator(s): William E. Nuckel
Hearing Site: New York, NY
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| 19-01358 | 06/16/2020 | Claimant(s): Ferdinand Ruplin
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): AXA Advisors, The Equitable Life Assurance Society Of
Respondent Lawyers(s): Annette K. Ebright
Arbitrator(s): Sam Antar
Hearing Site: New York, NY
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| 19-03156 | 06/10/2020 | Claimant(s): John Moran
Claimant Lawyers(s): Rachel Mech
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
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| 16-02545 | 06/08/2020 | Claimant(s): Pouya Lavian, Robert Decker, Scott Pedvis
Claimant Lawyers(s): Read McCaffrey
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Edward M. Yennock
Arbitrator(s): Noel B. Berman, Nino Armienti, Steven Skulnik
Hearing Site: New York, NY
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| 19-03019 | 06/08/2020 | Claimant(s): Felippe Alves
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): National Securities Corporation, John Thomas Financial, Joseph Stevens & Co..
Respondent Lawyers(s): Emily A. Hayes, Fabio Migliaccio, Maria Cummings
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
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| 19-03315 | 06/08/2020 | Claimant(s): Steven Southworth
Claimant Lawyers(s): Frances Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Peter A. Goldman
Hearing Site: New York, NY
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| 19-00330 | 06/05/2020 | Claimant(s): Ignatius Desimone
Claimant Lawyers(s): Edward Hernstadt
Respondent(s): Mirae Asset Securities (USA) Inc.
Respondent Lawyers(s): Dov Kesselman
Arbitrator(s): Mary P. Bass, Jay Alan Kranis, Clifford D. Dawkins
Hearing Site: New York, NY
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| 19-02226 | 06/02/2020 | Claimant(s): Robert Dolle
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
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| 19-02657 | 05/27/2020 | Claimant(s): Marc Seeherman
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): VSR Financial Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Ted M. Rosen
Hearing Site: New York, NY
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| 19-02958 | 05/26/2020 | Claimant(s): Chuck Roberts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): M. J. Whitman.
Respondent Lawyers(s): Michael Carney
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
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