| 21-02194 | 03/15/2022 | Claimant(s): Albert Prisco
Claimant Lawyers(s): Albert Joseph Prisco
Respondent(s): Federated Securities.
Respondent Lawyers(s): Denise Goldsmith
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
| | |
| 20-00671 | 03/15/2022 | Claimant(s): Carl Glowacki
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Laura A. Kaster
Hearing Site: Philadelphia, PA
|  | Dismissed by Rule 12504 |
| 18-02918 | 03/15/2022 | Claimant(s): Donald & Marjorie Lavin Trust
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Jon Broadbent, Pamela Lawson, Robert Lawson, Lawson Financial Corporation
Respondent Lawyers(s): Andrew L. Sparks, Jon David Broadbent
Arbitrator(s): Kimberly A. Gilmour, John B. Sochacki, Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | $443,114 |
| 19-03676 | 03/14/2022 | Claimant(s): Jayme Fowler
Claimant Lawyers(s): Andrew R. Harvin
Respondent(s): Invesco Distributors., Oppenheimerfunds Distributor.
Respondent Lawyers(s): Adam M. Harris
Arbitrator(s): Peter A. Goldman, Barry Steven Port, William Marsillo
Hearing Site: New York, NY
| | |
| 20-00235 | 03/14/2022 | Claimant(s): Cara Thomas
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Stuart K. Furman, Mildred Dorta, Mary Ann Etzler
Hearing Site: Orlando, FL
| | |
| 20-02797 | 03/14/2022 | Claimant(s): Kenneth Hill
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Richard S. Zaifert
Hearing Site: Raleigh, NC
| | |
| 21-00026 | 03/14/2022 | Claimant(s): National Securities Corporation, Forte Capital Group
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Harold Ramsey
Respondent Lawyers(s): Harold B. Ramsey
Arbitrator(s): Chandler R. Bridges
Hearing Site: Atlanta, GA
| | |
| 21-00716 | 03/14/2022 | Claimant(s): Kevin McRae
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Amy M. McCallen
Arbitrator(s): Robert E. Anderson
Hearing Site: Providence, RI
| | |
| 21-01637 | 03/14/2022 | Claimant(s): Charles Wallace
Claimant Lawyers(s): Cory Zadanosky
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | |
| 21-02104 | 03/14/2022 | Claimant(s): Jose Chaves
Claimant Lawyers(s): Russell Del Toro Parra
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sonia M. Lopez del Valle
Arbitrator(s): Nancy J. Cliff
Hearing Site: San Juan, PR
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