| 20-01513 | 03/29/2021 | Claimant(s): Arthur Lewis
Claimant Lawyers(s): Joshua Katz
Respondent(s): CIBC World Markets Corp., Oppenheimer & Co.., Aegis Capital Corp.
Respondent Lawyers(s): Elizabeth R. Aylett, Justin D. Dickinson, Timothy Treble
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
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| 20-02081 | 02/03/2021 | Claimant(s): Dominick Diorio
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
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| 20-01298 | 01/12/2021 | Claimant(s): Christopher Knutson
Claimant Lawyers(s): Harry Meyer
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
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| 20-00943 | 12/02/2020 | Claimant(s): Elliot Sherer
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Timothy Treble
Arbitrator(s): A. Rene Hollyer
Hearing Site: New York, NY
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| 20-00935 | 11/20/2020 | Claimant(s): Elliot Sherer
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Timothy Treble
Arbitrator(s): Steven C. Kasarda
Hearing Site: New York, NY
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| 20-01052 | 11/12/2020 | Claimant(s): Elliot Sherer
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Timothy Treble
Arbitrator(s): Anna M. Fanelli
Hearing Site: New York, NY
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| 19-03022 | 07/24/2020 | Claimant(s): Daniel Dvorznak
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp., J.D. Nicholas & Associates.
Respondent Lawyers(s): James Dolan, Timothy Treble
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
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| 19-00200 | 02/06/2020 | Claimant(s): Christopher Moran
Claimant Lawyers(s): Edward Cerasia
Respondent(s): Phillip Michals, Raffaele Gambardella, Robert Eide, Aegis Capital Corp.
Respondent Lawyers(s): Chris Lazarini, Iciss Tillise
Arbitrator(s): Francis Carling, Michael Davies, Elise I. Strauss
Hearing Site: New York, NY
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| 19-01331 | 01/22/2020 | Claimant(s): Jean-Matthieu Josse
Claimant Lawyers(s): Gregg J Breitbart
Respondent(s): A.G.P. / Alliance Global Partners, Aegis Capital Corp.
Respondent Lawyers(s): John Hitchings, Robert H. Decker
Arbitrator(s): Dan Brecher
Hearing Site: New York, NY
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| 19-01408 | 12/05/2019 | Claimant(s): Joseph Cordi
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Tony Naccarelli
Arbitrator(s): Mary Lou McGanney
Hearing Site: New York, NY
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