21-02942 | 01/05/2023 | Claimant(s): Christina Vozzo Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Stacey Schmidt Arbitrator(s): Catherine Stewart Hearing Site: Jersey City, NJ
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22-00388 | 01/05/2023 | Claimant(s): Andrew Scheirer Claimant Lawyers(s): Harris Freedman Respondent(s): First Allied Securities. Respondent Lawyers(s): Jeremy Wooden Arbitrator(s): Gerald Thomas Harper Hearing Site: Orlando, FL
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22-01856 | 01/05/2023 | Claimant(s): Justin Young Claimant Lawyers(s): Justin N Young Respondent(s): Webull Financial Llc Respondent Lawyers(s): Benjamin D. Cooper Arbitrator(s): Michael Jeffrey Norton Hearing Site: Denver, CO
| | $0 |
22-02013 | 01/05/2023 | Claimant(s): Thomas Bakker Claimant Lawyers(s): Thomas Bakker Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith Hoffman Arbitrator(s): Ronald Chun Hearing Site: San Francisco, CA
| | $0 |
19-00387 | 01/03/2023 | Claimant(s): Jefferies LLC Claimant Lawyers(s): Andrew J. Shapren Respondent(s): Credit Suisse Securities (USA) LLC Respondent Lawyers(s): David Jacobs Arbitrator(s): Harry D. Frisch, Sara Kula, Claudine Caracciolo Hearing Site: New York, NY
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22-00088 | 01/03/2023 | Claimant(s): Bernard Reina Claimant Lawyers(s): Robert L. Gonser Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Steven Gourley, Robert E. Jenks, Zygmont Jacob Boxer Hearing Site: Los Angeles, CA
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22-00044 | 01/03/2023 | Claimant(s): Kathleen Mucciolo, Mario Mucciolo, Estate of Katherine Mucciolo Claimant Lawyers(s): Peter J. Mougey Respondent(s): Hornor, Townsend & Kent. Respondent Lawyers(s): Paula D. Shaffner Arbitrator(s): Alfreida B. Kenny, Mitchell Regenbogen, Charlane Brown Hearing Site: New York, NY
| | Expungement |
20-02213 | 12/30/2022 | Claimant(s): Morgan Stanley, Morgan Stanely Smith Barney Financing LL Claimant Lawyers(s): Shannon L McDougald Respondent(s): Neil Gavande Respondent Lawyers(s): Bryan T. Forman Arbitrator(s): Linda P. Drucker, Val D. Hornstein, Thomas Arthur Cohen Hearing Site: San Francisco, CA
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20-03390 | 12/30/2022 | Claimant(s): Thea DePaola Claimant Lawyers(s): Robert Giacovas Respondent(s): Peter DePaola, De Paola Trading. Respondent Lawyers(s): Richard L. Herzfeld Arbitrator(s): Joan Maxine Secofsky, Joseph J. Arata, Jay F. Frascella Hearing Site: New York, NY
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22-00606 | 12/30/2022 | Claimant(s): Michael Bledsoe Claimant Lawyers(s): Michael Bledsoe Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Leon Fox, Scott Stauffer, Shimon Benyamin Kahan Hearing Site: Chicago, IL
| | $0 |