21-02932 | 09/15/2022 | Claimant(s): Rocky Wuyan, Ting Ma, Rocky Wuyan IRA, Ting Ma IRA, Wuyan Family Irrevocable Trust 11/6/12 Claimant Lawyers(s): Eric S. Pruitt Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Charlotte S. Wolfe Arbitrator(s): Kathy A. Tatone, John William Kenesey, Mark W Solock Hearing Site: Chicago, IL
| | $186,963 |
19-00859 | 09/13/2022 | Claimant(s): Terence Dolan, Benjamin & Jerold Brokerage I Claimant Lawyers(s): Warren A. Raiti Respondent(s): Cowen and Company Respondent Lawyers(s): Daniel R. Korb Arbitrator(s): James M. Rhodes, Mitchell Regenbogen, Robert Lee Bull Hearing Site: New York, NY
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22-00331 | 09/13/2022 | Claimant(s): Gerald Preschutti Claimant Lawyers(s): Stephan Louviere Respondent(s): BCG Securities. Respondent Lawyers(s): Jessica E. Levine Arbitrator(s): Louis P. Wagman Hearing Site: Philadelphia, PA
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22-00415 | 09/13/2022 | Claimant(s): Kenneth South Claimant Lawyers(s): Patrick R. Mahoney Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): William H. Badinelli Arbitrator(s): Neil S. Jasper, Sean Anthony Richardson Hearing Site: Los Angeles, CA
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19-03568 | 09/13/2022 | Claimant(s): Estate of James W. Eggers Claimant Lawyers(s): J. Mitchell Little Respondent(s): T. Rowe Price Investment Services. Respondent Lawyers(s): Daniel J Donovan Arbitrator(s): Mary Elizabeth Skelnik, Michael Wayne Johnston, Robert Glenn Chadwick Hearing Site: Dallas, TX
| | $0 |
19-01751 | 09/12/2022 | Claimant(s): Simon Andriesz Claimant Lawyers(s): Neal Brickman Respondent(s): Jean Aubin, Mark Webster, Michael Sulfaro, Cantor Fitzgerald & Co., Paul Pion, Shawn McLoughlin, William Shields, BGC Financial, L.P. Respondent Lawyers(s): Nirav S. Shah Arbitrator(s): Lise Gabrielle Hunter, Jennifer Lupo, Richard M. Gray Hearing Site: New York, NY
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22-00403 | 09/12/2022 | Claimant(s): Monica Cleves Claimant Lawyers(s): Robert M. Bursky Respondent(s): VectorGlobal WMG. Respondent Lawyers(s): Santiago Santos Arbitrator(s): Brian Hamburger, Karen Isabel Bedrosian - Richardson, Miriam Goode Hearing Site: New York, NY
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22-00998 | 09/12/2022 | Claimant(s): Barry Layton Claimant Lawyers(s): Barry A. Layton Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Karen Stymest Arbitrator(s): Jeffrey M. Allen Hearing Site: Reno, NV
| | $0 |
20-00033 | 09/09/2022 | Claimant(s): Mark Kolta Claimant Lawyers(s): Mark S. Kolta Respondent(s): Aegis Capital Corp. Respondent Lawyers(s): Daniel Scott Furst Arbitrator(s): Robert J. Kheel, Joan Caridi, Judith B Weinstock Hearing Site: New York, NY
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21-02786 | 09/09/2022 | Claimant(s): Boris Desancic Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Waddell & Reed Respondent Lawyers(s): Sara B. Davis Arbitrator(s): Charles Scott McClellan Hearing Site: Seattle, WA
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