| 19-00280 | 03/04/2021 | Claimant(s): Derek D'Alonzo
Claimant Lawyers(s): Ian E. Smith
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Keith Barnett
Arbitrator(s): Robert H. Putnam, Joel Lee Glasco, Barbara Black
Hearing Site: Atlanta, GA
| | |
| 19-02249 | 03/04/2021 | Claimant(s): Christopher Rollins
Claimant Lawyers(s): Seth Redniss
Respondent(s): Goldman, Sachs and Company, James Esposito, Goldman Sachs Group Inc, Goldman Sachs International, Goldman Sachs Services Limited
Respondent Lawyers(s): Theodore O. Rogers
Arbitrator(s): Brian Ken Kawakami, Richard W. Cutler, Shelley Teitelbaum
Hearing Site: New York, NY
| | |
| 20-02149 | 03/04/2021 | Claimant(s): Jeremy Benoit
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): John Hancock Mutual Life Insurance Co.
Respondent Lawyers(s): William A. Gottlieb
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
| | |
| 20-02330 | 03/04/2021 | Claimant(s): Richard Cella
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Arthur J. Giacomarra, Sharon L. Monroe, Howard N. Gorney
Hearing Site: Boston, MA
| | |
| 20-02845 | 03/04/2021 | Claimant(s): James Krantz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Sherri Lynne Kimmell
Hearing Site: Atlanta, GA
| | |
| 20-02861 | 03/04/2021 | Claimant(s): Brian Peardon
Claimant Lawyers(s): Kurt Zimmerman
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Andrew S. Azarmi
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | |
| 20-03415 | 03/04/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): John W. Joyce
Respondent(s): Jameile Cawley
Respondent Lawyers(s): Jameile D. Cawley
Arbitrator(s): B. John Dill
Hearing Site: Boston, MA
| | |
| 19-02741 | 03/04/2021 | Claimant(s): Jonathan Siegel
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Edith N. Dinneen, Kenneth M. Weinman, Michael John Florio
Hearing Site: Los Angeles, CA
|  | Expungement |
| 20-01187 | 03/04/2021 | Claimant(s): Therese Fleming, Therese Fleming IRA
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Linda Broocks
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | Expungement |
| 19-01172 | 03/04/2021 | Claimant(s): Shirley Cummings
Claimant Lawyers(s): Eric Liebman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Michael F. Jordan, Steven Meyrich, Barry A. Fisher
Hearing Site: Denver, CO
| | $0 |
