| 19-02155 | 08/17/2021 | Claimant(s): Robert Crane
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Christopher Nelson, Craig Sherman, Joseph Thurnherr, Robert Calamunci, Wynston Hill Capital
Respondent Lawyers(s): Christopher Joseph Nelson, David A. Allen, Joseph Morris Thurnherr, Paul Goodman
Arbitrator(s): David Evans Rosedahl, Avery B. Goodman, Mark A. Frankel
Hearing Site: Des Moines, IA
|  | $478,477 |
| 19-01403 | 08/16/2021 | Claimant(s): Katalyst Securities LLC
Claimant Lawyers(s): Adam B. Oppenheim
Respondent(s): Marker Therapeutics.
Respondent Lawyers(s): Eric A. Kuwana
Arbitrator(s): John F. Duane, Robert E. Anderson, David Stein
Hearing Site: New York, NY
| | |
| 20-04174 | 08/16/2021 | Claimant(s): Christopher Hamm
Claimant Lawyers(s): Brian Luther
Respondent(s): Advantage Capital Corporation
Respondent Lawyers(s): Helen Prater
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
| | |
| 21-00164 | 08/16/2021 | Claimant(s): Christopher Staten
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Alyson Terrell
Arbitrator(s): Chandler R. Bridges
Hearing Site: Charleston, WV
| | |
| 20-01434 | 08/16/2021 | Claimant(s): Harriet Zisman Trust DTD 12/23/1997
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Nicola Murphy
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-00596 | 08/16/2021 | Claimant(s): Robert Rendzio
Claimant Lawyers(s): Robert J. Rendzio
Respondent(s): Spiros Stefanatos, Allied Millennial Partners
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): G. Maynard Green
Hearing Site: Birmingham, AL
| | $0 |
| 18-03543 | 08/13/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Kimberly Rule
Respondent Lawyers(s): Kimberly Kay Rule
Arbitrator(s): Frances Johnson Wright, Kenneth Joe Gold, Robert E. Luxen
Hearing Site: Dallas, TX
| | |
| 20-03361 | 08/13/2021 | Claimant(s): Kenneth Arellano
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): John Francis Markuns
Hearing Site: Syracuse, NY
| | |
| 20-04108 | 08/13/2021 | Claimant(s): Samuel Monchik
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Wilmington, DE
| | |
| 19-03721 | 08/13/2021 | Claimant(s): Michael Rosenberg
Claimant Lawyers(s): Courtney Werning
Respondent(s): Hightower Securities
Respondent Lawyers(s): David C. Peet
Arbitrator(s): Anthony Michael Sabino, Terrance J. Nolan, Edmund Timothy Donovan
Hearing Site: New York, NY
| | $163,201 |
