23-00040 | 03/29/2024 | Claimant(s): Mark Kolta Claimant Lawyers(s): Tosh Grebenik Respondent(s): National Securities Corporation, Worden Capital Management LLC, Aegis Capital Corp. Respondent Lawyers(s): Daniel Scott Furst, Emily A. Hayes, Jamie J. Worden Arbitrator(s): Cheryl H. Agris, John Clark Van Steen, Susan Romano Hearing Site: New York, NY
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23-00044 | 03/29/2024 | Claimant(s): Danielle Azadian Claimant Lawyers(s): Lars Soreide Respondent(s): Peter Janssen, Katalyst Securities Llc Respondent Lawyers(s): Philip Kempisty, Walter J. Mathews Arbitrator(s): Lita S. Menkin, Gia B. Compton, Jeffrey Alperin Hearing Site: Atlanta, GA
| | $46,440 |
23-01390 | 03/29/2024 | Claimant(s): Gregory Thorn Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Cetera Advisor Networks LLC Respondent Lawyers(s): David Feldstein Arbitrator(s): David A. Schuler Hearing Site: Dallas, TX
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23-01491 | 03/29/2024 | Claimant(s): Michael Rice Claimant Lawyers(s): Chelsea Bauer Respondent(s): Lehman Brothers Inc Respondent Lawyers(s): Christopher K. Kiplok Arbitrator(s): Peter E. Gillespie Hearing Site: New York, NY
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23-01145 | 03/28/2024 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Jonathan D. Berg Respondent(s): Abraham Bichler Respondent Lawyers(s): Abraham Yitzchak Bichler Arbitrator(s): Eva H. Posman, Mary Julia O'Connell, Joanne Sari Feld Hearing Site: New York, NY
| | $0 |
23-02041 | 03/28/2024 | Claimant(s): John Parmigiani Claimant Lawyers(s): Irwin Weltz Respondent(s): Allied Millennial Partners Respondent Lawyers(s): Kay Johnson Arbitrator(s): Michael H DuBoff Hearing Site: New York, NY
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23-01466 | 03/28/2024 | Claimant(s): Jeffrey Beaulieu Claimant Lawyers(s): William Bean Respondent(s): NYLife Securities LLC Respondent Lawyers(s): Andrew S. Azarmi Arbitrator(s): Robert D. Sussin Hearing Site: Los Angeles, CA
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23-02074 | 03/28/2024 | Claimant(s): Ann Stewart Claimant Lawyers(s): Christopher Lufrano Respondent(s): Parkland Securities Respondent Lawyers(s): Irit Walters Arbitrator(s): Anita Rae Shapiro Hearing Site: Denver, CO
| | Dismissed by Rule 12206 |
23-01386 | 03/28/2024 | Claimant(s): Hua Fan Claimant Lawyers(s): Hua Fan Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Jeffrey D. Rogers Arbitrator(s): Natalie Panossian-Bassler Hearing Site: Los Angeles, CA
| | $0 |
23-02802 | 03/28/2024 | Claimant(s): Edward Maynard Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Cambridge Investment Research. Respondent Lawyers(s): Kristina J. Branstetter Arbitrator(s): Joseph V. Simeri Hearing Site: Cincinnati, OH
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