| 20-01716 | 01/12/2023 | Claimant(s): Gary Sparago
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Patrick Christensen
Arbitrator(s): Richard E. Castiglioni
Hearing Site: New York, NY
|  | $0 |
| 18-04156 | 01/11/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Joshua Horn
Respondent(s): Stephen Pendergast
Respondent Lawyers(s): David R. Clouston
Arbitrator(s): Steven R. Rolnick, Catherine Stewart, Cynthia Catherine Anger
Hearing Site: Hartford, CT
| | |
| 22-01659 | 01/11/2023 | Claimant(s): Margaret Wiley
Claimant Lawyers(s): Bryan Ward
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Edward R. Hipp, Michael J. Ahlstrom, John D. Mattingly
Hearing Site: Norfolk, VA
| | |
| 22-00412 | 01/10/2023 | Claimant(s): Kenneth South
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Ronald L. Cameron, Blaine Smith, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | |
| 18-01824 | 01/09/2023 | Claimant(s): Betsy Merritt, Joseph Singleton
Claimant Lawyers(s): Steve A. Buchwalter
Respondent(s): Janice Cartwright, John Cartwright
Respondent Lawyers(s): Johnny L. Antwiler
Arbitrator(s): Benjamin F. Breslauer, Thomas Mason Harwood, Eric Beatty
Hearing Site: Los Angeles, CA
| | |
| 19-03772 | 01/09/2023 | Claimant(s): Joshua Heapes
Claimant Lawyers(s): Jeremy L. Bartell
Respondent(s): Chad Troester, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christopher S. Koller
Arbitrator(s): Nelson P. Lovins, Denise L. Presley, Michael P. Breton
Hearing Site: Boston, MA
| | |
| 21-00664 | 01/09/2023 | Claimant(s): Ryan Hyslop
Claimant Lawyers(s): Brandon S. Reif
Respondent(s): Chris Osborne, Curtis Peterson, Darren Pfefferman, David Bigler, David Lawrence, Morgan Stanley, Lisa Haygood, Nicholas Westendorf, Rachel Morman
Respondent Lawyers(s): Rachel Morman, Tracy L. Gerber
Arbitrator(s): Martin Jonathan Barrack, Jo-Ann C. Little, Janice L. Sperow
Hearing Site: San Diego, CA
| | |
| 22-00514 | 01/09/2023 | Claimant(s): Eric Lyon
Claimant Lawyers(s): Harris Freedman
Respondent(s): JWGenesis Securities., National Securities Corporation, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Emily A. Hayes, Michael Naccarato
Arbitrator(s): Louis David Huss
Hearing Site: Boca Raton, FL
| | |
| 22-00740 | 01/09/2023 | Claimant(s): Edwin Hodder
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Leyla Bari
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Cheyenne, WY
| | |
| 22-00523 | 01/06/2023 | Claimant(s): Robert Reed
Claimant Lawyers(s): Brian J. Davis
Respondent(s): Christopher Fusco, Lon Faccini, Arive Capital Markets
Respondent Lawyers(s): Anthony Varbero, Christopher Thomas Fusco
Arbitrator(s): Julius Z. Frager, Lynn Hirschfeld Brahin, Jane Cohen
Hearing Site: St. Louis, MO
| | Dismissed |
