| 21-01563 | 04/05/2022 | Claimant(s): John Barber
Claimant Lawyers(s): Dochtor D. Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Mark A. Sipper
Hearing Site: Columbus, OH
| | |
| 21-02031 | 04/05/2022 | Claimant(s): Paul DiPietro
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Dawson James Securities.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | |
| 20-03808 | 04/05/2022 | Claimant(s): Gabrielle Sigel, Jacqueline Rosen, Lawrence Osman, Rochelle Seeman, Osman Family Trust
Claimant Lawyers(s): Katherine A. Petti
Respondent(s): J.P. Morgan Securities, Sherod Hanson
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Benjamin F. Breslauer, Virginia Alice Suveiu, Barry D. Kaye
Hearing Site: Los Angeles, CA
|  | $0 |
| 19-03575 | 04/04/2022 | Claimant(s): Kimberly Hartman
Claimant Lawyers(s): Brittany Weiner
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Denis Dice
Arbitrator(s): Ellen F. Kandell, James Ray Eyler, Michele Francene Dandrea
Hearing Site: Baltimore, MD
| | |
| 21-01120 | 04/04/2022 | Claimant(s): Brian Decker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Pacific West Securities.
Respondent Lawyers(s): Corporate Officer, Jennifer E. Novoselsky
Arbitrator(s): Stephany Adriene Watson, Joan M. Schroeder, Charles Scott McClellan
Hearing Site: Seattle, WA
| | |
| 21-02705 | 04/04/2022 | Claimant(s): Adam Fetterman, David Raphan, Sean Fetterman
Claimant Lawyers(s): Joseph C. Coates
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Christopher J. Klein, Thomas Mead Santoro, George D. Davidson
Hearing Site: Boca Raton, FL
| | |
| 21-01160 | 04/04/2022 | Claimant(s): Neil Berns
Claimant Lawyers(s): Dietrich Epperson
Respondent(s): Portfolio Resources Group.
Respondent Lawyers(s): Eric R. Feld
Arbitrator(s): Edmund Timothy Donovan
Hearing Site: New York, NY
| | Expungement |
| 19-00624 | 04/04/2022 | Claimant(s): Laurita P. Chmielewski Revocable Trust
Claimant Lawyers(s): Daniel J. Broxup
Respondent(s): James Flynn, Voya Financial Advisors.
Respondent Lawyers(s): James Travis Flynn, Steven Mellen
Arbitrator(s): Carl Henry Perdue, Peter Shapiro, Joanne Colbert Stanley
Hearing Site: Boca Raton, FL
| | $323,365 |
| 21-02366 | 04/01/2022 | Claimant(s): James Davis
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Securities America., Centaurus Financial.
Respondent Lawyers(s): Gregory M. Curley, Michael West
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
| | |
| 21-02657 | 04/01/2022 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Neil S. Baritz
Respondent(s): Keith Esp
Respondent Lawyers(s): Keith Adam Esp
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
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