| 23-03107 | 01/23/2024 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Saumeu P. Mauch
Respondent(s): Leonardo Hernandez
Respondent Lawyers(s): Leonardo Hernandez
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
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| 23-01475 | 12/12/2023 | Claimant(s): D.A. Davidson & Co.
Claimant Lawyers(s): Nancy L. Hendrickson
Respondent(s): Kevin Arvoy
Respondent Lawyers(s): Kevin Michael Arvoy
Arbitrator(s): Elizabeth Gilbert, Charles Platto, Douglas Mark Polley
Hearing Site: New York, NY
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| 19-02158 | 03/08/2023 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Patrick McCarthy
Respondent Lawyers(s): Pearl Zuchlewski
Arbitrator(s): Bernard A. Kesselman, Elizabeth Gilbert, William A. Rome
Hearing Site: New York, NY
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| 21-00186 | 11/11/2022 | Claimant(s): Gabriel Antuna
Claimant Lawyers(s): Gabriel Fischbarg
Respondent(s): Andrew Garrett.
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): Richard W. Vallario, Elizabeth Gilbert, Joan Ellen Hoffman
Hearing Site: New York, NY
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| 20-03720 | 12/22/2021 | Claimant(s): Francis Mitchell
Claimant Lawyers(s): Francis G. Mitchell
Respondent(s): Christopher Frattini, Gregory Hatzimichael, Mozart Prudent
Respondent Lawyers(s): Michael Utilla
Arbitrator(s): Elizabeth Gilbert, David I. Goldblatt, Robert Morris
Hearing Site: New York, NY
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| 21-00199 | 09/02/2021 | Claimant(s): John Lowry
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Spartan Capital Securities
Respondent Lawyers(s): Kim Monchik
Arbitrator(s): Elizabeth Gilbert, Christine Meiers Schatz, Marc Adam Sherman
Hearing Site: New York, NY
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| 19-02706 | 02/06/2020 | Claimant(s): Charles Wu
Claimant Lawyers(s): Charles Wu
Respondent(s): Ferghana Securities.
Respondent Lawyers(s): William J. Kridel
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
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| 18-03595 | 10/30/2019 | Claimant(s): Peter Volino
Claimant Lawyers(s): Edward Hernstadt
Respondent(s): Mirae Asset Securities (USA) Inc.
Respondent Lawyers(s): Dov Kesselman
Arbitrator(s): Elizabeth Gilbert, Angela A. Turiano, Elise I. Strauss
Hearing Site: New York, NY
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| 18-02285 | 10/23/2019 | Claimant(s): John Juergens
Claimant Lawyers(s): Michael A. Zamat
Respondent(s): Mutual Of Omaha Investor Services.
Respondent Lawyers(s): Patrick B. Griffin
Arbitrator(s): Elizabeth Gilbert, Peter E. Gillespie, Michael Andrew Rollin
Hearing Site: New York, NY
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| 17-03190 | 07/03/2019 | Claimant(s): Sanjay Rajwani
Claimant Lawyers(s): Neal Brickman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Elizabeth Gilbert, Leslie Ruth Nydick, Michael Davies
Hearing Site: New York, NY
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