| 18-02459 | 01/27/2020 | Claimant(s): Charles Austin, Stanley Baumblatt
Claimant Lawyers(s): Daniel Osborn
Respondent(s): Christopher Sadaka, John Lahoud, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s):
Hearing Site: New York, NY
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| 18-01151 | 01/23/2020 | Claimant(s): Garett Ceraso
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Joseph R. Brancaleone, Martin L. Feinberg, Susan Manca
Hearing Site: New York, NY
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| 19-01331 | 01/22/2020 | Claimant(s): Jean-Matthieu Josse
Claimant Lawyers(s): Gregg J Breitbart
Respondent(s): A.G.P. / Alliance Global Partners, Aegis Capital Corp.
Respondent Lawyers(s): John Hitchings, Robert H. Decker
Arbitrator(s): Dan Brecher
Hearing Site: New York, NY
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| 19-02183 | 01/21/2020 | Claimant(s): Mikhail Filshtinskiy
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Jamie J. Helman
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
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| 18-01541 | 01/16/2020 | Claimant(s): Keith Price
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph C. O'Keefe
Arbitrator(s): R. Peyton Gibson, Wallace Anthony Showman, Charles Francis Barr
Hearing Site: New York, NY
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| 19-01482 | 01/13/2020 | Claimant(s): Lysandra Maxim
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Quick & Reilly.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Ted M. Rosen
Hearing Site: New York, NY
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| 19-02073 | 01/13/2020 | Claimant(s): Paul Campbell
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
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| 19-02705 | 01/10/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Beverly Jo Slaughter
Respondent(s): Frank Wroblewski
Respondent Lawyers(s): Frank Charles Wroblewski
Arbitrator(s): Dora M. Lassinger
Hearing Site: New York, NY
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| 18-04264 | 01/08/2020 | Claimant(s): Michael Orr
Claimant Lawyers(s): Ian Orr
Respondent(s): Laurence Allen, Michael Schunk, NYPPEX
Respondent Lawyers(s): Laurence G. Allen, Laurence Geoffrey Allen, Michael Joseph Schunk
Arbitrator(s): Susan Romano
Hearing Site: New York, NY
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| 19-00169 | 01/08/2020 | Claimant(s): James Zahakos
Claimant Lawyers(s): Michael Bessette
Respondent(s): Edward Jones
Respondent Lawyers(s): Paul A. Yarns
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
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