| 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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| 15-00283 | 07/17/2017 | Claimant(s): Mark Farwell
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): LPL Financial LLC, Robert Kennedy, Spencer Lewis, Summer Pretzer, Thomas Estridge
Respondent Lawyers(s): David Baugh
Arbitrator(s): Rody P. Biggert, Laura M. Nelson, Michael Cotter Greenfield
Hearing Site: Chicago, IL
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| 15-00461 | 03/24/2016 | Claimant(s): Albert Akerman
Claimant Lawyers(s): Avrohom Gefen
Respondent(s): CL Wealth Management, Cabot Lodge Securities LLC
Respondent Lawyers(s): Martin H. Kaplan, Martin Kaplan
Arbitrator(s): William G. Binckes, Robert E. Riccobono, Robert Michael O'Brien
Hearing Site: New York, NY
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| 08-01879 | 09/02/2011 | Claimant(s): Empire Financial Group.
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Hernando Cortes, James Matthew, Jason Sharfstein, John Kelly, Kevin O'Halloran, Robert Gaeta, Steven Rabinovici, Todd Zuckerbrod, Stockcross Financial Services., The Estate of Gerard Mastrianni
Respondent Lawyers(s): George Brunelle, J. Christopher Albanese, Martin H. Kaplan, Michael P. Gilmore, Todd A. Zuckerbrod
Arbitrator(s): Marc T. Danon, Stuart S. Billington, Jack A. Helms
Hearing Site: Orlando, FL
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| 10-02883 | 04/28/2011 | Claimant(s): Lawrence Stavitski, Michael Halen, Peter Doyle, Raymond Doyle, Samual Suhaka
Claimant Lawyers(s): Robyn Gnudi Kalocsay
Respondent(s): Randolph Hill
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
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| 07-02191 | 06/29/2009 | Claimant(s): First Empire Securities.
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): Lawrence Miele
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): J. Julie Jason, Aaron Tyk, Elliot Berman
Hearing Site: New York, NY
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| 07-02345 | 01/22/2009 | Claimant(s): Continental Broker-Dealer Corp. by Ric
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): Edward Schlitzer, George Calleia, Patricia Jamison, Wexford Clearing Services
Respondent Lawyers(s): George Calleia, John R. Braatz
Arbitrator(s): Andrew D. Hudders, Robert Pincus, Richard E. Lerner
Hearing Site: New York, NY
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| 08-02730 | 01/22/2009 | Claimant(s): Joseph Villalba
Claimant Lawyers(s): Joseph Luis Villalba
Respondent(s): Robert Vallone, Hold Brothers On-Line Investment Service
Respondent Lawyers(s): Martin H. Kaplan, Robert A. Vallone
Arbitrator(s): Fred S. Pieroni
Hearing Site: Newark, NJ
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| 08-01290 | 12/04/2008 | Claimant(s): Russell Hartstein
Claimant Lawyers(s): Russell Hartstein
Respondent(s): Hold Brothers On-line Investment Svcs.
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Raymond Nardo
Hearing Site: New York, NY
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