| 21-01186 | 11/17/2021 | Claimant(s): Leah Butterworth
Claimant Lawyers(s): Steve R. Pitzner
Respondent(s): Christopher Swan, BB&T Securities
Respondent Lawyers(s): David M Clem
Arbitrator(s): Mark L. Williams
Hearing Site: Dallas, TX
|  | $0 |
| 18-00038 | 11/16/2021 | Claimant(s): Devin Wicker
Claimant Lawyers(s): Marc Jonas Block
Respondent(s): Alan Mele, John Barry, Tribal Capital Markets
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): Keely D. Parr, Amy Banet, Kathleen Kuzmen Malone
Hearing Site: New York, NY
| | |
| 19-00803 | 11/16/2021 | Claimant(s): Adam Kaplan, Daniel Kaplan
Claimant Lawyers(s): John D. Singer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Andrew M. Schmertz, Ann Judith Gellis, Rick Rutman
Hearing Site: New York, NY
| | |
| 20-01237 | 11/16/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Andrew R. Park
Respondent(s): John Agostino
Respondent Lawyers(s): John S. Agostino
Arbitrator(s): David I. Goldblatt, Anthony J. Cetta, James M. Rhodes
Hearing Site: New York, NY
| | |
| 20-02384 | 11/16/2021 | Claimant(s): David Holtz
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
| | |
| 20-03787 | 11/16/2021 | Claimant(s): Joseph Marino
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Zachary S. Knoblock
Arbitrator(s): Lewis S. Kurlantzick
Hearing Site: Hartford, CT
| | |
| 21-01012 | 11/16/2021 | Claimant(s): Ronald Carson
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Cetera Advisor Networks
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Mark L Miller
Hearing Site: Omaha, NE
| | |
| 20-01124 | 11/16/2021 | Claimant(s): Curtis D. Hertel Rev Liv Trust
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Sandlapper Securities
Respondent Lawyers(s): Trevor L. Gordon
Arbitrator(s): Michael Lau, Melanie S. Cherdack, Maria Rosa Scalone
Hearing Site: Boca Raton, FL
| | $205,488 |
| 20-03627 | 11/16/2021 | Claimant(s): David Bolls
Claimant Lawyers(s): Jonathan Bolls
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Richard P. Regan, Francis Henry Dong, Richard J Thomas
Hearing Site: Washington, DC
| | $0 |
| 18-00554 | 11/15/2021 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Michael Kamras
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Michael G. Clark, Robert C. Albini, Adam Michael Porter
Hearing Site: Los Angeles, CA
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