| 23-00332 | 10/18/2023 | Claimant(s): Brian Gardiner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Kevin W. Brooks
Arbitrator(s): William James Pantele
Hearing Site: Baltimore, MD
| | |
| 21-01916 | 10/18/2023 | Claimant(s): William Crull
Claimant Lawyers(s): Everett Pritchard
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Gregory Curley
Arbitrator(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
| | |
| 21-02920 | 10/18/2023 | Claimant(s): Erik Kuselias
Claimant Lawyers(s): Brian C. Fournier
Respondent(s): Scott Dorer, Steven Loveall, Securities America.
Respondent Lawyers(s): Brian J. Palmeri, Greg Curley
Arbitrator(s): Samuel H. Chorches, Thomas M. Madden, Andrew Stephen Knott
Hearing Site: Hartford, CT
|  | $0 |
| 23-00488 | 10/17/2023 | Claimant(s): David Carlor
Claimant Lawyers(s): David Carlor
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Ernest Edward Badway, Loretta Yin, Richard H Leitman
Hearing Site: Jersey City, NJ
| | |
| 23-01472 | 10/17/2023 | Claimant(s): Kurt Mattson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
| | |
| 20-01625 | 10/17/2023 | Claimant(s): Prakash Shukla
Claimant Lawyers(s): Michael J. Sullivan
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Stephen M. Acerra, Denise L. Presley, Jeremy M. Bloomenthal
Hearing Site: Boston, MA
| | Expungement |
| 23-00663 | 10/17/2023 | Claimant(s): Latrice Osamor
Claimant Lawyers(s): Latrice A. Osamor
Respondent(s): First Command Brokerage Services.
Respondent Lawyers(s): Adam C. Pollet
Arbitrator(s): Douglas Earl McLaren, Julius P. Terrell, Alan Barry Cohen
Hearing Site: Washington, DC
| | $400 |
| 22-02387 | 10/16/2023 | Claimant(s): William Bejarano
Claimant Lawyers(s): Philip L. Vujanov
Respondent(s): Gregory Ramirez
Respondent Lawyers(s): Craig Bockman
Arbitrator(s): Neil S. Jasper, Milan Slama, Leonard Gross
Hearing Site: Los Angeles, CA
| | $10,000 |
| 22-02465 | 10/13/2023 | Claimant(s): Flavius Sindile
Claimant Lawyers(s): Andrew S. May
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Heidi E. Vonderheide
Arbitrator(s): Michael S. Matek, Michael R. Sherwin, Andreanna A. Leon
Hearing Site: Chicago, IL
| | |
| 22-02687 | 10/13/2023 | Claimant(s): David Burgio
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): OSAIC Wealth, Prime Capital Services.
Respondent Lawyers(s): Emily A. Hayes, Greg M. Curley
Arbitrator(s): Mark A. Sipper
Hearing Site: Buffalo, NY
| | |
