| 23-00097 | 06/16/2023 | Claimant(s): Samuel Bosch Schultz
Claimant Lawyers(s): Samuel Juan Alberto Bosch Schultz
Respondent(s): Frederick Bates
Respondent Lawyers(s): Jeffrey Tew
Arbitrator(s): Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | |
| 23-00019 | 06/16/2023 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Robert Fitzpatrick
Respondent(s): Jorge Garzon Baquero
Respondent Lawyers(s): Jorge L. Garzon Baquero
Arbitrator(s): Howard J. Stiefel
Hearing Site: New York, NY
| | |
| 22-00377 | 06/16/2023 | Claimant(s): James Gualandi
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Edward Jones
Respondent Lawyers(s): Roger P. Meyers
Arbitrator(s): Philip J. Glick, Jacqueline Stanley Lustig, Elizabeth Horne
Hearing Site: Chicago, IL
| | Expungement |
| 22-01520 | 06/16/2023 | Claimant(s): Richard Barnett
Claimant Lawyers(s): Samantha Pastor
Respondent(s): CFD Investments.
Respondent Lawyers(s): Brent Owens
Arbitrator(s): Suzanne L. Ulicny
Hearing Site: Detroit, MI
| | |
| 22-02418 | 06/16/2023 | Claimant(s): Christopher Tong
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
| | |
| 22-01815 | 06/16/2023 | Claimant(s): BGC Financial, L.P.
Claimant Lawyers(s): Nirav Shah
Respondent(s): David Nierenberg, TJM Investments
Respondent Lawyers(s): Jonathan Sack
Arbitrator(s): Larry Kars, Charles L. Henderson, Virginia Mary Hunt
Hearing Site: New York, NY
| | |
| 22-02343 | 06/16/2023 | Claimant(s): John Moore
Claimant Lawyers(s): John H. Moore
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Baltimore, MD
|  | $0 |
| 22-02174 | 06/16/2023 | Claimant(s): Intercoastal Capital Markets.
Claimant Lawyers(s): Michael A. Gross
Respondent(s): Michael D'Addabbo
Respondent Lawyers(s): Michael L. D'Addabbo
Arbitrator(s): Joseph Charles Smolira, James A. McIntosh, Matthew Jay Mezzatesta
Hearing Site: Boca Raton, FL
| | |
| 21-03123 | 06/16/2023 | Claimant(s): BPY Limited, Murchinson LTD, Nomis Bay Limited
Claimant Lawyers(s): David S. Richan
Respondent(s): Cassel Shapiro, Paul Zogala, Robert Eide, Aegis Capital Corp.
Respondent Lawyers(s): Aaron F. Miner, David S. Richan, Richard A. Roth
Arbitrator(s): Peter A. Goldman, Jeffrey Alan Helewitz, Sherman Guo
Hearing Site: New York, NY
| | $0 |
| 22-02296 | 06/15/2023 | Claimant(s): Mark Thorndyke
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
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