| 21-00438 | 09/29/2021 | Claimant(s): Marwan Karnabi
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
|  | $0 |
| 19-02399 | 06/26/2020 | Claimant(s): Stephen Caruso
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Tamara Skliar
Respondent Lawyers(s): Tamara Skliar
Arbitrator(s): Harvey Barrison, Shelley Teitelbaum, Howard L. Sobel
Hearing Site: New York, NY
| | Expungement |
| 19-01017 | 10/11/2019 | Claimant(s): Steven Keats
Claimant Lawyers(s): Steven L. Keats
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
| | $0 |
| 18-01899 | 08/28/2019 | Claimant(s): James Porz
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Harvey Barrison, Philip J De Bellis, Patricia Kathleen Costello
Hearing Site: New York, NY
| | Dismissed by Rule 12206/12504 |
| 17-03437 | 01/07/2019 | Claimant(s): Aldus Chapin, Chapin Family Trust
Claimant Lawyers(s): Aldus N Chapin
Respondent(s): TD Ameritrade., Citigroup Global Markets.
Respondent Lawyers(s): Richard C. Szuch, Simeon Schopf
Arbitrator(s): Harvey Barrison, Julian F. Santos, Pierre F. de Ravel d'Esclapon
Hearing Site: New York, NY
| | Expungement |
| 17-01683 | 12/14/2017 | Claimant(s): Howard Puro
Claimant Lawyers(s): Howard Puro
Respondent(s): Christopher Mulville, Matthew Kirby, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kimberly Stone
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
| | $175 |
| 10-03471 | 12/22/2011 | Claimant(s): The Circle Trust UAD, Joan Lane TTEE
Claimant Lawyers(s): Hartley T. Bernstein
Respondent(s): Donna Leone, Laura Sloate, Neuberger Berman LLC, SWM Securities., Sloate, Weisman, Murray & Company.
Respondent Lawyers(s): Compliance Officer, Donna M. Leone, Victor A. Machcinski
Arbitrator(s): Harvey Barrison, Lisa Catalano, Robert S. Clemente
Hearing Site: New York, NY
| | Expungement |
| 10-01112 | 05/10/2011 | Claimant(s): Brady Elias
Claimant Lawyers(s): Adolph D. Seltzer
Respondent(s): Jeffrey Alexander, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Harvey Barrison, Howard L. Haykin, Josian Antoine
Hearing Site: New York, NY
| | $0 |
| 05-06164 | 12/15/2008 | Claimant(s): Estate of James Ward
Claimant Lawyers(s): Christopher R. Ross
Respondent(s): John Susca, Ehrenkrantz King Nassbaum.
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Harvey Barrison, Denzil J. Klippel, John J. Witkowski
Hearing Site: New York, NY
| | $0 |
