| 20-03526 | 06/22/2023 | Claimant(s): Alprime Capital AG, NorCap Absolute Return Fund UCITS
Claimant Lawyers(s): Sam A. Silverstein
Respondent(s): E D & F Man Capital Markets Inc.
Respondent Lawyers(s): LisaMarie Collins
Arbitrator(s): Daniel Robbins, Anna Lascar, Barry Jay Mandel
Hearing Site: New York, NY
|  | $0 |
| 22-00830 | 06/22/2023 | Claimant(s): Donald Baxter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FFP Securities., Primeline Securities Corp., SII Investments.
Respondent Lawyers(s): Eric A. Michaels, Fred F. Liebau, Jeremy Wooden
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Wichita, KS
| | |
| 22-02948 | 06/21/2023 | Claimant(s): Nancy Everidge
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): Britt Wright, Iris Israel, James Woods, Oppenheimer & Co.., Julie Jones, Michael Mooney, Penny Flippen, Livingston Group Asset Management
Respondent Lawyers(s): Britt Franklin Wright, Iris Cecelia Israel, James Wallace Woods, John J. Woods, Julie Adelle Jones, Michael Jeremiah Mooney, Penny Gail Flippen, William E. Mahoney
Arbitrator(s): Charles L.A. Terreni, Victoria Liccione, Sharon Lanette Ervin
Hearing Site: Charlotte, NC
| | Withdrawn |
| 22-02714 | 06/21/2023 | Claimant(s): James Alonge
Claimant Lawyers(s): James A. Alonge
Respondent(s): Gregory Romes
Respondent Lawyers(s): David Markun
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
| | $213 |
| 22-02421 | 06/20/2023 | Claimant(s): Paolo Thompson
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Leslie Bernard Jallans, Lynne M. Gomez, Montie G. Grimes
Hearing Site: Houston, TX
| | |
| 22-00442 | 06/20/2023 | Claimant(s): Ronald Kapusta
Claimant Lawyers(s): Peter Kreher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): Guillermo L. Bosch, Doris J. Dabrowski, Joseph Patrick Murphy
Hearing Site: Philadelphia, PA
| | Expungement |
| 22-01558 | 06/20/2023 | Claimant(s): Amy Seltzer, David Neumann, James Ellis
Claimant Lawyers(s): Todd Ratner
Respondent(s): Anthony Bambocci, Brandienne Tarbert, Christopher Tarbert
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Peter Glasser, Gregory Hunter Mathews, Kenneth Alan Eisner
Hearing Site: Pittsburgh, PA
| | Expungement |
| 22-01148 | 06/20/2023 | Claimant(s): David Wilson, Donna Wilson
Claimant Lawyers(s): Scott L Silver
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Tyrone Nathaniel Watson, Christina Magee, Catherine Harper
Hearing Site: Orlando, FL
| | Expungement |
| 22-02707 | 06/16/2023 | Claimant(s): Diane Civetta
Claimant Lawyers(s): Diane Civetta
Respondent(s): Anthony Hollenbeck, E*Trade Securities LLC, Michael Evans
Respondent Lawyers(s): John Bersin
Arbitrator(s): Mary Julia O'Connell
Hearing Site: New York, NY
| | $300 |
| 22-02508 | 06/16/2023 | Claimant(s): Anouchka Balog
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
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