23-03029 | 07/11/2024 | Claimant(s): Anthony Lapadula, Cesar Ramos, Eric Newman, George Kott, Joseph Giordano, Kevin Meade, Michael Pata, Robert Eide, Steven Dubinsky Claimant Lawyers(s): Eric Newman, Thomas P. McEvoy Respondent(s): Aegis Capital Corp. Respondent Lawyers(s): Kevin Meade Arbitrator(s): Ira A. Auerbach Hearing Site: New York, NY
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23-02840 | 07/11/2024 | Claimant(s): Robert Wheeler Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Edward Jones Respondent Lawyers(s): Jonathan W. Hackbarth Arbitrator(s): Michael J. Ahlstrom Hearing Site: Raleigh, NC
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23-01298 | 07/11/2024 | Claimant(s): Paul Gerlach Claimant Lawyers(s): Shawn P. George Respondent(s): Charles Knott, Cort Meinelschmidt, Capital Investment Group., Sentinel Capital Solutions Inc Respondent Lawyers(s): Jonathan A. Barnes, Victor E. Cretella III Arbitrator(s): Geoffrey A. Drucker, James Pauli, Allan David Poteshman Hearing Site: Washington, DC
| | $996,072 |
13-03275 | 07/10/2024 | Claimant(s): Deutsche Bank Securities. Claimant Lawyers(s): Robert B. Ericson Respondent(s): James Dryden Respondent Lawyers(s): Deborah A. Klar Arbitrator(s): Robert D. Sussin, Kirtley M. Thiesmeyer, Frank Centofanti Hearing Site: Los Angeles, CA
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23-02727 | 07/10/2024 | Claimant(s): Aaron Clark Claimant Lawyers(s): Joshua A. Katz Respondent(s): LPL Financial LLC Respondent Lawyers(s): Rochelle Mayfield Arbitrator(s): Cherie S. Lewis Hearing Site: Los Angeles, CA
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23-00951 | 07/10/2024 | Claimant(s): Vicente Castillo Claimant Lawyers(s): Roberto C Quinones Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina-Velez Arbitrator(s): Louis David Huss Hearing Site: San Juan, PR
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23-03248 | 07/09/2024 | Claimant(s): Charles Gottschalk, IRA Claimant Lawyers(s): Lysa L. Postula-Stein Respondent(s): Sigma Financial Corporation Respondent Lawyers(s): Jonathan M. Sterling Arbitrator(s): Martin Brosnan Hearing Site: Detroit, MI
| | Dismissed by Rule 12206 |
23-03035 | 07/09/2024 | Claimant(s): Curt Caserta, Lee Duckworth, Peter Alofsin Claimant Lawyers(s): Eric A. Bensky Respondent(s): Triad Advisors LLC, Kestra Investment Services Respondent Lawyers(s): Jennifer R. Cox, Lydia R. Zaidman Arbitrator(s): Maya Steinitz Hearing Site: Providence, RI
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22-01619 | 07/08/2024 | Claimant(s): Dana Cohen, Jerome Cohen, The Estate of Jeffrey Cohen, The Ronni Cohen Trust Claimant Lawyers(s): Coren H. Stern Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Lawton R. Graves Arbitrator(s): Will Murphy, Barry David Thorpe, Noah David Rubin Hearing Site: Boca Raton, FL
| | $643,992 |
22-02752 | 07/08/2024 | Claimant(s): Daniel Cornell Claimant Lawyers(s): Robert L. Herskovits Respondent(s): BNP Paribas Securities Corp. Respondent Lawyers(s): Lloyd B. Chinn Arbitrator(s): David S. Billet, David John Reilly, Donald Francese Hearing Site: New York, NY
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