| 23-00383 | 11/21/2023 | Claimant(s): Aram Seferian
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Continental Broker-Dealer Corp.
Respondent Lawyers(s): Thomas Tiernan
Arbitrator(s): Jill Pilgrim, Brian R. Cohen, Amy Jill Baranoff
Hearing Site: New York, NY
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| 22-02206 | 03/30/2023 | Claimant(s): Andrea Tessler, Seymour Zises
Claimant Lawyers(s): David I. Hantman
Respondent(s): Family Management Securities
Respondent Lawyers(s): Philip Frank
Arbitrator(s): Amy Jill Baranoff
Hearing Site: New York, NY
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| 21-01342 | 09/23/2022 | Claimant(s): Thiago Melzer
Claimant Lawyers(s): Jonathan S. Sack
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Kenneth Diamond, Amy Jill Baranoff, Peter E. Gillespie
Hearing Site: New York, NY
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| 19-01064 | 10/18/2021 | Claimant(s): Kenneth Kwalik
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Eric A. Bensky
Arbitrator(s): Amy Jill Baranoff, Andrew Daniel Levine, Donald Francese
Hearing Site: New York, NY
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| 20-03148 | 09/27/2021 | Claimant(s): Michael Fasciglione
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation, Oppenheimer & Co..
Respondent Lawyers(s): Emily A. Hayes, Nicola Anne Murphy
Arbitrator(s): Amy Jill Baranoff
Hearing Site: New York, NY
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| 20-03218 | 09/03/2021 | Claimant(s): Kevin McPhee
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): American Capital Partners, Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John Gardini, Peter Bon Viso
Arbitrator(s): Amy Jill Baranoff
Hearing Site: New York, NY
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| 18-02731 | 04/12/2019 | Claimant(s): Adam Stern
Claimant Lawyers(s): Gregg J Breitbart
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): A. R. John Hitchings
Arbitrator(s): Amy Jill Baranoff
Hearing Site: New York, NY
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| 16-00914 | 02/20/2019 | Claimant(s): Trenchant Funds USA LLC
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles B. LaChaussee
Arbitrator(s): Michael G. Shannon, Roger B. Jacobs, Amy Jill Baranoff
Hearing Site: New York, NY
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| 15-02320 | 12/30/2016 | Claimant(s): David Murphy
Claimant Lawyers(s): John D. Singer
Respondent(s): Tila Azeem
Respondent Lawyers(s): John H. Snyder
Arbitrator(s): Raymond Nardo, Daniel Robbins, Amy Jill Baranoff
Hearing Site: New York, NY
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| 14-01280 | 06/02/2015 | Claimant(s): Shahid Quraishi
Claimant Lawyers(s): Jonathan Sack
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Allan S. Bloom
Arbitrator(s): Sam Antar, Blossom Nicinski, Amy Jill Baranoff
Hearing Site: New York, NY
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