| 21-02565 | 06/30/2022 | Claimant(s): Kerri Jamison
Claimant Lawyers(s): Brian Luther
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): George W. Harding
Hearing Site: Phoenix, AZ
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| 21-03052 | 06/30/2022 | Claimant(s): Craig Bottolfson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Erik R. Siering
Hearing Site: Phoenix, AZ
| | |
| 22-00229 | 06/30/2022 | Claimant(s): Mario Kafetzis
Claimant Lawyers(s): Mario Kafetzis
Respondent(s): Lloyd Shepetin, Prakash Gupta, Essex Securities LLC
Respondent Lawyers(s): Lloyd E. Shepetin, Prakash Gupta
Arbitrator(s): Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
| | |
| 20-02030 | 06/30/2022 | Claimant(s): Irwin Schaeffer, Schaeffer Family Trust
Claimant Lawyers(s): Kyle M. Kulzer
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Joseph Winter, David Harvey Failer, Hiro N Aragaki
Hearing Site: Los Angeles, CA
|  | $0 |
| 20-02843 | 06/30/2022 | Claimant(s): Johnny Walker
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Alan M. Holzberg, Shannon Lyn Mays, Denise Ereka Peterson
Hearing Site: Houston, TX
| | $1,232,770 |
| 18-03174 | 06/29/2022 | Claimant(s): Daniel Michalow
Claimant Lawyers(s): Dustin Pusch
Respondent(s): Edward Fishman, Eric Wepsic, Julius Gaudio, Maximilian Stone, D.E. Shaw & Co., L.P.
Respondent Lawyers(s): Terri L. Chase
Arbitrator(s): Richard Lee Mansdoerfer, Jonathan Blank
Hearing Site: New York, NY
| | |
| 21-02378 | 06/29/2022 | Claimant(s): Jonathan Lonske
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, Morgan Stanley DW Inc., UBS Financial Services Inc.
Respondent Lawyers(s): Abigail Elrod, Elisabeth Kratka, John Murphy
Arbitrator(s): Linda J. Baer
Hearing Site: Boston, MA
| | |
| 20-03226 | 06/28/2022 | Claimant(s): Raquel Gonzalez Chavez
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Citigroup Global Markets., Popular Securities.
Respondent Lawyers(s): Adam M. Kauff, Maria T. Alvarez-Santos
Arbitrator(s): Leslie L. Cooney
Hearing Site: Boca Raton, FL
| | |
| 21-02176 | 06/28/2022 | Claimant(s): Eesa Ahmad
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): William E. Nuckel
Hearing Site: New York, NY
| | |
| 21-02827 | 06/28/2022 | Claimant(s): Daniel Abraham
Claimant Lawyers(s): Stephan Louviere
Respondent(s): VALIC Financial Advisors.
Respondent Lawyers(s): Michael S. Cargnel
Arbitrator(s): Robert J. Gregory
Hearing Site: New Orleans, LA
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