| 20-03195 | 12/01/2021 | Claimant(s): Jason Zahtila
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): American Capital Partners
Respondent Lawyers(s): John Gardini
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
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| 21-00357 | 12/01/2021 | Claimant(s): Thomas Seiler
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Frank P. Santangelo, Robert C. Scanlan, Lorrie E Whitfield
Hearing Site: Philadelphia, PA
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| 21-01149 | 12/01/2021 | Claimant(s): Breton Williams
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Maya Steinitz
Hearing Site: Chicago, IL
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| 19-01588 | 12/01/2021 | Claimant(s): Lisa Wavro
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Stanley, Kevin Welsh
Respondent Lawyers(s): Nicholas N. George
Arbitrator(s): Robert H. Putnam, Mauricio Arcadier, William Finley Hamel
Hearing Site: Columbia, SC
|  | Expungement |
| 19-02079 | 11/30/2021 | Claimant(s): Joe King, Lynn Faust, Michael Faust
Claimant Lawyers(s): Debra A. Jenks, Marc S. Dobin
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Louis F. Mendez
Arbitrator(s): Suzanne E. Reynolds-Brady, Cindy L. Anderson, Meeta Alberta Bass
Hearing Site: Tampa, FL
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| 20-03038 | 11/30/2021 | Claimant(s): Joseph Glodek, Richard Libretti
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Marvin L. Schuldiner
Hearing Site: Jersey City, NJ
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| 21-00821 | 11/30/2021 | Claimant(s): George Reyes
Claimant Lawyers(s): George A Reyes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John T. DiNapoli
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
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| 20-02177 | 11/30/2021 | Claimant(s): Kim Reynolds
Claimant Lawyers(s): Kim Reynolds
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): William A. Barrett, William Norton, Michael A. Orticelle
Hearing Site: Augusta, ME
| | $0 |
| 20-00067 | 11/29/2021 | Claimant(s): Gary Deardorff
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): LPL Financial LLC, Next Financial Group.
Respondent Lawyers(s): John T. Unger, Sara B. Davis
Arbitrator(s): Michael Kelley
Hearing Site: Phoenix, AZ
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| 20-03939 | 11/29/2021 | Claimant(s): Ralph Basile
Claimant Lawyers(s): Alex E. Rogers
Respondent(s): George Madrigal, Penserra Securities
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Peter Bennett, Stephen L. Lister, Howard Alan Grinsberg
Hearing Site: Jersey City, NJ
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