| 20-03296 | 10/22/2021 | Claimant(s): Andrew Chisholm
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Ameriprise Financial Services, Michael Cooper
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Camille S. Cooper, Ellyn S. Roth, Charlane Brown
Hearing Site: New York, NY
|  | $0 |
| 19-01728 | 01/26/2021 | Claimant(s): Herbert Cohen
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): National Securities Corporation, Scott Matalon
Respondent Lawyers(s): Frank J. Cuccio, Fred Knopf
Arbitrator(s): Fern Sue Reidman, Ellyn S. Roth, Anna Lascar
Hearing Site: New York, NY
| | Expungement |
| 16-00514 | 02/15/2018 | Claimant(s): Jason Wright, Lenoir Wright
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Frank Fusco, John Smith, Jonathan Miller, Salvatore Caruso, Legend Securities.
Respondent Lawyers(s): Frank Phillip Fusco, John Victor Smith, Jonathan J. Miller, Salvatore Charles Caruso, Salvatore Caruso
Arbitrator(s): Richard W. Cutler, Ellyn S. Roth, George Bartos
Hearing Site: New York, NY
| | $181,970 |
| 16-02686 | 04/13/2017 | Claimant(s): Howard Shapiro, Iris Hahn, Marcia Shapiro
Claimant Lawyers(s): David Edgar Bamberger
Respondent(s): Ilan Preis
Respondent Lawyers(s): Ilan Nathan Preis
Arbitrator(s): David I. Goldblatt, Ellyn S. Roth, Thomas E. Mehrtens
Hearing Site: New York, NY
| | $531,165 |
| 14-02572 | 03/09/2016 | Claimant(s): Camilo Betancourt, Luz Betancourt
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Annamaria Boccia Smith, Ellyn S. Roth, Alice Holly Oshins
Hearing Site: New York, NY
| | Expungement |
| 10-04744 | 06/26/2015 | Claimant(s): Ontonimo (OMO) Limited
Claimant Lawyers(s): Barry R. Lax
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Harry Frischer
Arbitrator(s): Peter A. Goldman, Ellyn S. Roth, Albert L. Akerman
Hearing Site: New York, NY
| | $16,600,000 |
| 13-02079 | 06/23/2015 | Claimant(s): Muriel Sturm
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Christopher J. Scanlon
Arbitrator(s): Romaine L. Gardner, Jack Friedman, Ellyn S. Roth
Hearing Site: New York, NY
| | $30,000 |
| 11-01330 | 07/01/2013 | Claimant(s): Nifly, LLP
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): J.P. Morgan Securities Inc.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Sam Antar, Ellyn S. Roth, Dolores D. Balsamo
Hearing Site: New York, NY
| | $55,000 |
| 09-00878 | 01/30/2013 | Claimant(s): US Airways.
Claimant Lawyers(s): Robert W. Henoch
Respondent(s): Oppenheimer & Co.., Vincent Woo
Respondent Lawyers(s): Suzan Jo, Thomas J. Hennessey
Arbitrator(s): Catherine I. Gulevich, James S. Hazard, Ellyn S. Roth
Hearing Site: New York, NY
| | $30,000,000 |
| 09-06361 | 05/17/2012 | Claimant(s): The Estate of George T. Arns, The Arns Family Trust
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Frank Delli Carpini, Pershing LLC, UBS Financial Services Inc., Belle Haven Investments, L.P.
Respondent Lawyers(s): Amy B. Bard, Garry Lischin, Matthew Tracy
Arbitrator(s): Kinchen C. Bizzell, Saul Scheier, Ellyn S. Roth
Hearing Site: New York, NY
| | Expungement |
