| 18-00613 | 02/27/2020 | Claimant(s): Lyle LaMothe
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Mary Lou McGanney, Terrance J. Nolan, Michael J. Fleming
Hearing Site: New York, NY
|  | Dismissed by Rule 12206/12504 |
| 18-03169 | 02/26/2020 | Claimant(s): Christopher Blum
Claimant Lawyers(s): Joshua K. Bromberg
Respondent(s): Thomas Bovitz, Tullett Prebon Financial Services LLC
Respondent Lawyers(s): Adam Pekor
Arbitrator(s): Judith C. Zerden, Daniel Robbins, Edward Farrelly Smith
Hearing Site: New York, NY
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| 19-02083 | 02/26/2020 | Claimant(s): Timothy Cheriaparampil
Claimant Lawyers(s): Megan M. Christensen
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Allen Holeman
Arbitrator(s): Anna Lascar, Ronald Jay Horowitz, Andrew Morganstern
Hearing Site: New York, NY
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| 18-00314 | 02/25/2020 | Claimant(s): Bonwick Capital Partners
Claimant Lawyers(s): Faun M. Phillipson
Respondent(s): Boustead Securities, Network 1 Financial Securities Inc.
Respondent Lawyers(s): Gerry J. Kowalski, Jeffrey K. Compton
Arbitrator(s): Howard L. Haykin, Paul George Huck, David Spencer
Hearing Site: New York, NY
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| 19-00814 | 02/25/2020 | Claimant(s): Joel Breiter
Claimant Lawyers(s): Angela Turiano
Respondent(s): Oppenheimer & Co.., UBS Financial Services Inc.
Respondent Lawyers(s): John T. McGuire, Omar Perez
Arbitrator(s): Sam Antar
Hearing Site: New York, NY
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| 19-01281 | 02/25/2020 | Claimant(s): Rinico Sawyer
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Laura Wong-Pan
Hearing Site: New York, NY
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| 19-02774 | 02/25/2020 | Claimant(s): Robert Gilman
Claimant Lawyers(s): John Stewart
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
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| 18-00548 | 02/24/2020 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew Shapren
Respondent(s): Jerald Slowik
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Kip C Lubcke, Madelyn A. Levy, David John Reilly
Hearing Site: New York, NY
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| 19-01667 | 02/13/2020 | Claimant(s): Ken Kavanagh
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alehandro Schwed
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
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| 19-01739 | 02/13/2020 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Kenneth Vaishville
Respondent Lawyers(s): Kenneth Vaishville
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
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