| 19-02186 | 04/01/2020 | Claimant(s): Nas Allan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Windsor Street Capital
Respondent Lawyers(s): John W. Stalanski
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
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| 19-02228 | 03/31/2020 | Claimant(s): Mark Kolta
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily Hayes
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
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| 19-02060 | 03/27/2020 | Claimant(s): Joseph Guarneri
Claimant Lawyers(s): Patrick R Mahoney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
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| 19-01374 | 03/26/2020 | Claimant(s): Kirk Katzburg
Claimant Lawyers(s): Richard Herzfeld
Respondent(s): David Braunlich, DLB Securities L.L.C.
Respondent Lawyers(s): David Lonsdale Braunlich
Arbitrator(s): Paul S. Biederman, Ellyn S. Roth, William Arthur Ginty
Hearing Site: New York, NY
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| 19-02959 | 03/25/2020 | Claimant(s): Chuck Roberts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Elizabeth R. Aylett
Arbitrator(s): Paul S. Biederman
Hearing Site: New York, NY
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| 19-02247 | 03/23/2020 | Claimant(s): Craig Bonn
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Laidlaw & Company (UK) Ltd., Sands Brothers & Co., Ltd.
Respondent Lawyers(s): Charles Smulevitz, Gail Fanelli
Arbitrator(s): Jill Pilgrim
Hearing Site: New York, NY
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| 18-03735 | 03/20/2020 | Claimant(s): William Lee
Claimant Lawyers(s): Aegis J. Frumento
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Francis J. LaSalla, Steven Gary Leventhal, Mitchell Regenbogen
Hearing Site: New York, NY
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| 19-01605 | 03/20/2020 | Claimant(s): Mark Kolta
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation, Chase Investment Services Corp.
Respondent Lawyers(s): Fred N. Knopf, Thomas J. Cahill
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY
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| 17-01229 | 03/17/2020 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Jonathan Moneypenny
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Howard L. Sobel, Kevin B. Naughten, Eric Zaidins
Hearing Site: New York, NY
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| 19-01648 | 03/16/2020 | Claimant(s): Julia Davis
Claimant Lawyers(s): Julia M. Davis
Respondent(s): Michael Boyd, TIAA-Cref Individual & Institutional Ser
Respondent Lawyers(s): Andrea Dreyer
Arbitrator(s): Joan Maxine Secofsky
Hearing Site: New York, NY
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