| 19-01316 | 11/20/2019 | Claimant(s): Michael Murphy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Commerce One Financial Inc.
Respondent Lawyers(s): Thomas J. Jennings
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
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| 19-00627 | 10/09/2019 | Claimant(s): Alan Rosenberg
Claimant Lawyers(s): Stephen J. Ginsberg
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Stanton A. Fears
Arbitrator(s): Susan C Lushing, Susan Romano, Michael I Stolzar
Hearing Site: New York, NY
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| 18-03094 | 08/09/2019 | Claimant(s): Alan Green, David Robert, Jonathan Staiman, Vincent Miller, William Miller
Claimant Lawyers(s): Michael A. Balascio
Respondent(s): Bertram Riley, Petersen Investments.
Respondent Lawyers(s): Louis D. Tambaro
Arbitrator(s): Susan C. Lushing, Cheryl H. Agris, Stephen J. Patti
Hearing Site: New York, NY
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| 17-01993 | 03/19/2019 | Claimant(s): Adam Kaplan, Daniel Kaplan
Claimant Lawyers(s): John D. Singer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Susan C. Lushing, Joseph I. Liebman, Lynnette Rich
Hearing Site: New York, NY
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| 18-00292 | 11/29/2018 | Claimant(s): Damany Henry
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Eastbrook Capital Group LLC
Respondent Lawyers(s): Legal Department or Compliance Officer
Arbitrator(s): Susan C. Lushing
Hearing Site: New York, NY
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| 17-01713 | 08/28/2018 | Claimant(s): Lawrence Sangirardi
Claimant Lawyers(s): David E. Mollon
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Susan C. Lushing, Wayne I. Harris, Vincent Mark Riccordella
Hearing Site: New York, NY
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| 17-00559 | 06/06/2018 | Claimant(s): Michael Rindos
Claimant Lawyers(s): Michael Joseph Rindos
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Daniel Scott Furst
Arbitrator(s): Susan C. Lushing, Mary P. Bass, Jerome Bernard McDevitt
Hearing Site: New York, NY
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| 15-02530 | 05/23/2018 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): James L. Komie
Respondent(s): Benjamin Marcano
Respondent Lawyers(s): Jarrod J. Malone
Arbitrator(s): Susan C. Lushing, George Sommerfeld, Gayle S. Sanders
Hearing Site: New York, NY
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| 16-01005 | 12/12/2017 | Claimant(s): Jollene Austin
Claimant Lawyers(s): Christina Giorgio
Respondent(s): John Tarpinian
Respondent Lawyers(s): Gregory S. Sparer
Arbitrator(s): Susan C. Lushing, David S. Billet, Kevin B. Naughten
Hearing Site: New York, NY
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| 13-02213 | 07/25/2017 | Claimant(s): Ervin Pilku
Claimant Lawyers(s): James P. Gianakis
Respondent(s): Eric Salzman, Advisors Asset Management.
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Susan C. Lushing, Joel C. Keilson, Mark Jeffrey Snyder
Hearing Site: New York, NY
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