| 23-00220 | 10/10/2023 | Claimant(s): David Hua
Claimant Lawyers(s): Seth N. Bursky
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Jill Pilgrim, Leslie Conason, Lorraine Diane Mandel
Hearing Site: New York, NY
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| 18-03113 | 10/09/2023 | Claimant(s): Matt Ardoyno
Claimant Lawyers(s): Rogge Dunn
Respondent(s): Randy Bray
Respondent Lawyers(s): Matthew B. Henneman
Arbitrator(s): Andrea U. Calve, Anita M. Jean, Michael Wayne Johnston
Hearing Site: Dallas, TX
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| 21-03038 | 10/09/2023 | Claimant(s): William Capece
Claimant Lawyers(s): Christopher Coss
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Stephen T. Mayhew, Gregory J. Spadea, Arthur Traldi
Hearing Site: Philadelphia, PA
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| 22-02615 | 10/09/2023 | Claimant(s): Stefan Nensala
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): G. Maynard Green
Hearing Site: Houston, TX
| | |
| 23-01529 | 10/09/2023 | Claimant(s): Debora Scholl
Claimant Lawyers(s): Debora Scholl
Respondent(s): Alexis Cain, Lincoln Investment
Respondent Lawyers(s): Matthew Sherlock, Sean L. Corgan
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
|  | $0 |
| 21-00242 | 10/06/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Keith Barnett
Respondent(s): Matthew Sherbondy
Respondent Lawyers(s): William R. Carlisle
Arbitrator(s): Mollie Wagner Neal, David Blair Sinyard, Edward Martin Davidson
Hearing Site: Atlanta, GA
| | |
| 23-00389 | 10/06/2023 | Claimant(s): Scott Rose
Claimant Lawyers(s): William Bean
Respondent(s): Citigroup Global Markets., J.P. Morgan Securities
Respondent Lawyers(s): Adam Kauff, Thomas J. Cahill
Arbitrator(s): Jeffrey Alan Helewitz
Hearing Site: New York, NY
| | |
| 19-03417 | 10/06/2023 | Claimant(s): Elmer Ferguson
Claimant Lawyers(s): Elmer Richard Ferguson
Respondent(s): MMA Securities LLC, Marsh & McLennan Agency LLC
Respondent Lawyers(s): Benjamin Emmert
Arbitrator(s): Ronald Chun, Clifford A. Threlkeld, Richard Thomas Boyer
Hearing Site: San Francisco, CA
| | |
| 22-02697 | 10/06/2023 | Claimant(s): Edward Deicke
Claimant Lawyers(s): Kurt Kalberer
Respondent(s): National Securities Corporation, Prudential Equity Group
Respondent Lawyers(s): Emily A. Hayes, Jennifer E. Novoselsky
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
| | |
| 22-02881 | 10/05/2023 | Claimant(s): SoFi Securities LLC
Claimant Lawyers(s): Michele R. Underwood
Respondent(s): Steven Bragg
Respondent Lawyers(s): Steven Bragg
Arbitrator(s): David A. Schuler
Hearing Site: Birmingham, AL
| | $0 |
