| 13-03704 | 03/10/2020 | Claimant(s): Elana Deutsch, Elie Deutsch, Alan Deutsch A/C/F for Ayelethashacha, Alan Deutsch A/C/F for Natanel Deutsch, Alan Deutsch A/C/F for Zecharia Deutsch, Sonja G. Deutsch Irrevocable Trust
Claimant Lawyers(s): Kevin J. Deloatch
Respondent(s): James Ducey, Stuart Alter, Morgan Stanley Smith Barney LLC
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Julian F. Santos, Joan M. Traub, Daniel F. Morrissey
Hearing Site: New York, NY
|  | Dismissed |
| 17-03198 | 06/07/2019 | Claimant(s): Carol Connell, Michael Connell, Eugene P. Connell Irrevocable Ins Trust
Claimant Lawyers(s): Kim Lauren Michael
Respondent(s): Ardell Roan, Barry Connell, Denise Kelly, Morgan Stanley & Co., George Batelli, Ginny Piscatay, Jeffrey Crystal, Jennifer Salmon, Richard Less
Respondent Lawyers(s): Adam Kauff, Barry Franklin Connell, Corey Hohnbaum, Ginny Piscatay
Arbitrator(s): Charles L. Prothero, Joan M. Traub, Sam Antar
Hearing Site: New York, NY
| | Expungement |
| 17-01370 | 03/13/2019 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Timothy Longo, Trident Partners Ltd.
Respondent Lawyers(s): Eric J. Sussman, Giuseppe Franzella
Arbitrator(s): Joan M. Traub, Paul S. Biederman, Michele S. Riley
Hearing Site: New York, NY
| | $0 |
| 17-03166 | 09/21/2018 | Claimant(s): Guang Liu Ling and Anna Ling
Claimant Lawyers(s): Kai Y. Gao
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda H. Wright
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | $0 |
| 14-02524 | 06/19/2017 | Claimant(s): Rosalie Lanzisera, Rosalie A. Lanzisera, IRA
Claimant Lawyers(s): Joseph A. Sack
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Joan M. Traub, Howard L. Sobel, Doris B. Nathan
Hearing Site: New York, NY
| | $0 |
| 11-03837 | 02/22/2017 | Claimant(s): Estate of Jerry Castellone, Estate of Jerry Castellone 2
Claimant Lawyers(s): Harvey Jasper, Jonathan A. Stein
Respondent(s): Chase Investment Services Corp., Chemical Bank, JP Morgan Chase & Co., JP Morgan Chase Bank & Co., JP Morgan Chase Bank NA
Respondent Lawyers(s): Michael J. Charlilo
Arbitrator(s): Ted M. Rosen, Joan M. Traub, Peter A. Kiefer
Hearing Site: New York, NY
| | $600 |
| 14-01687 | 04/11/2016 | Claimant(s): Charles Lieberman
Claimant Lawyers(s): Jessica Levine
Respondent(s): Joan and Todd Donahue
Respondent Lawyers(s): Todd Donohue
Arbitrator(s): Clifford A. Harwick, Joan M. Traub, Edith M. Novack
Hearing Site: Newark, NJ
| | $0 |
| 10-00074 | 12/27/2013 | Claimant(s): Susan Montanti
Claimant Lawyers(s): Emilia M. De Meo
Respondent(s): Obsidian Financial Group
Respondent Lawyers(s): Stephen Grivas
Arbitrator(s): Cynthia H. Plishtin, Joan M. Traub, Walter C. Parrish
Hearing Site: Newark, NJ
| | Expungement |
| 11-04481 | 11/06/2013 | Claimant(s): Philip Evans
Claimant Lawyers(s): Phillip Evans
Respondent(s): Jeffrey Rachlin, Mark Kaplowitz, Alternative Wealth Strategies.
Respondent Lawyers(s): Jeffrey Rachlin, Louis H. Miron, Mark Kaplowitz
Arbitrator(s): Joan M. Traub, Ariel Berschadsky, Paul G. Garjian
Hearing Site: Newark, NJ
| | $135,000 |
| 11-02431 | 12/20/2012 | Claimant(s): Irvin Welch
Claimant Lawyers(s): Jan Graham
Respondent(s): Wachovia Securities, Dwayne Alpers, Louis Navellier
Respondent Lawyers(s): Joseph E. Floren, Philip A. McLeod
Arbitrator(s): George J. Karlsven, Joan M. Traub, Michael G. Clark
Hearing Site: Salt Lake City, UT
| | Expungement |
