| 20-03946 | 02/22/2023 | Claimant(s): Juan Seoane
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Julian F. Santos, Veronica Ann Williams, Jennifer Lupo
Hearing Site: New York, NY
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| 20-00033 | 09/09/2022 | Claimant(s): Mark Kolta
Claimant Lawyers(s): Mark S. Kolta
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Daniel Scott Furst
Arbitrator(s): Robert J. Kheel, Joan Caridi, Judith B Weinstock
Hearing Site: New York, NY
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| 21-01401 | 04/21/2022 | Claimant(s): Brian Lombardi
Claimant Lawyers(s): Joshua Bautz
Respondent(s): GunnAllen Financial, Aegis Capital Corp.
Respondent Lawyers(s): Kevin Daniels, Kevin Meade
Arbitrator(s): Marc S. Dobin, Howard Bernstein, Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 21-02415 | 04/20/2022 | Claimant(s): Stephen Giannantonio
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Aegis Capital Corp., Laidlaw & Company (UK) Ltd.
Respondent Lawyers(s): Charles Smulevitz, Kevin Meade
Arbitrator(s): Clive I. Morrick
Hearing Site: New York, NY
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| 21-01370 | 02/02/2022 | Claimant(s): Nicholas Tsikitas
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
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| 20-02450 | 08/04/2021 | Claimant(s): Mark Kolta
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation, Aegis Capital Corp.
Respondent Lawyers(s): Daniel Scott Furst, Emily A. Hayes
Arbitrator(s): Carolyn A. Mann
Hearing Site: New York, NY
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| 20-01419 | 07/15/2021 | Claimant(s): Raymond Borota
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Mark L. Williams
Hearing Site: Dallas, TX
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| 20-03220 | 07/15/2021 | Claimant(s): Dennis Herrera
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Aegis Capital Corp., Hunter Scott Financial LLC., John Thomas Financial
Respondent Lawyers(s): Corporate Office, Kevin Meade, Peter Gouzos
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
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| 20-03054 | 05/11/2021 | Claimant(s): Gerald Sharpe
Claimant Lawyers(s): Gregg J. Breitbart
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Martin R. Cramer
Hearing Site: Jersey City, NJ
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| 20-02282 | 04/19/2021 | Claimant(s): Dennis Herrera
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Aegis Capital Corp., Blackbook Capital, Charles Vista LLC, Hunter Scott Financial LLC, John Thomas Financial
Respondent Lawyers(s): Anthony C. Naccarelli, Franklin Ogele, Gregg Lorenzo, Maria Cummings, Peter Gouzos
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
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