| 21-01174 | 10/26/2021 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Konstantinos Pagiazitis
Respondent Lawyers(s): Matthew C. Plant
Arbitrator(s): Howard J. Stiefel
Hearing Site: New York, NY
| | |
| 19-03052 | 10/26/2021 | Claimant(s): Marie Mesmer
Claimant Lawyers(s): Tiega Varlack
Respondent(s): Raymond James Financial Services., Ka Ki Leung
Respondent Lawyers(s): Chad E. Weaver
Arbitrator(s): Thomas D. Reese, William W. Haskell, David I. Levine
Hearing Site: San Francisco, CA
|  | $0 |
| 20-04158 | 10/26/2021 | Claimant(s): Diedre Conover, Mark Conover, Diedre Conover IRA, Mark Conover IRA
Claimant Lawyers(s): Kirk Smith
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Langdon T. Owen, Rick L. Knuth, Thomas R. Bromberg
Hearing Site: Salt Lake City, UT
| | Dismissed by Rule 12206 |
| 21-00340 | 10/26/2021 | Claimant(s): Michael Richardson
Claimant Lawyers(s): Michael A. Richardson
Respondent(s): GTS Securities LLC
Respondent Lawyers(s): Daniel Labovitz
Arbitrator(s): Thomas Michael Genovese
Hearing Site: Chicago, IL
| | $0 |
| 21-00306 | 10/25/2021 | Claimant(s): Sofia Ward
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 20-02359 | 10/23/2021 | Claimant(s): Rita Vido, Robert Vido, Theodore Wensink
Claimant Lawyers(s): Robert Persante
Respondent(s): Ahmet Kildis, SunTrust Investment Services.
Respondent Lawyers(s): Frederick S. Schrils, Robert K. Jamieson
Arbitrator(s): Elizabeth A. Townes, Rochelle Friedman Walk, Natalie Paskiewicz
Hearing Site: Tampa, FL
| | $18,582 |
| 19-03185 | 10/22/2021 | Claimant(s): Bill Rizos
Claimant Lawyers(s): Laurence Landsman
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): David E. Morrison
Arbitrator(s): Michael S. Matek, Stuart D. Summers, Daniel Baruch Lidawer
Hearing Site: Chicago, IL
| | |
| 20-03181 | 10/22/2021 | Claimant(s): Timothy Longo
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Morgan Stanley DW Inc., American Capital Partners
Respondent Lawyers(s): Jeremy S. Winer, John Gardini
Arbitrator(s): Josian Antoine
Hearing Site: New York, NY
| | |
| 21-00133 | 10/22/2021 | Claimant(s): James Atwood
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): David Wertz Ellis
Hearing Site: Boston, MA
| | |
| 21-00299 | 10/22/2021 | Claimant(s): Paul Hulen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan Hackbarth
Arbitrator(s): Julius Z. Frager
Hearing Site: St. Louis, MO
| | |
