| 23-00573 | 01/31/2024 | Claimant(s): Manoj Bhartiya
Claimant Lawyers(s): Manoj Bhartiya
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Karimu F. Hill-Harvey, Elizabeth A. Townes, Natalie Paskiewicz
Hearing Site: Tampa, FL
|  | $0 |
| 19-03803 | 03/10/2021 | Claimant(s): Susan Godown, Susan J. Godown JTTEN
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Karimu F. Hill-Harvey, Natalie Paskiewicz, Jason Paul Ramos
Hearing Site: Tampa, FL
| | Expungement |
| 15-03140 | 10/30/2020 | Claimant(s): Michael Magno
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Karimu F. Hill-Harvey, Robert E. Anderson, Adam S. King
Hearing Site: Syracuse, NY
| | $0 |
| 18-00082 | 04/04/2019 | Claimant(s): Joseph Stonbely
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Spartan Capital Securities
Respondent Lawyers(s): Matthew N. Fiorovanti
Arbitrator(s): James J. Fishman, Karimu F. Hill-Harvey, Charles F. Eisenhardt
Hearing Site: New York, NY
| | Expungement |
| 16-00276 | 01/30/2017 | Claimant(s): James Hoffman
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Saimir Collaku
Respondent Lawyers(s): Saimir Collaku
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: Newark, NJ
| | $98,155 |
| 15-01328 | 11/11/2016 | Claimant(s): Ginger August, Mary August, Susan August-Brown, KC August Irrevocable Trust, Mary G. August Irrevocable Trust
Claimant Lawyers(s): Sigmund D. Schutz
Respondent(s): David Chambers, Ameriprise Financial Services., Luke Reinhard
Respondent Lawyers(s): Louis M. Ciavarra
Arbitrator(s): Richard J. Grahn, Karimu F. Hill-Harvey
Hearing Site: Augusta, ME
| | Expungement |
| 15-01218 | 05/11/2016 | Claimant(s): Gary Penner & Leslie-Ann Furie JTWROS, Gary Penner Profit Sharing Plan, Leslie-Ann Furie Profit Sharing Plan
Claimant Lawyers(s): Gary Penner
Respondent(s): Edward Moldaver, James Lee, Mark Stevenson
Respondent Lawyers(s): David Robbins, Jonathan L. Adler
Arbitrator(s): Karimu F. Hill-Harvey, Catherine Stewart, Marvin L. Schuldiner
Hearing Site: Newark, NJ
| | Expungement |
| 12-03093 | 07/07/2015 | Claimant(s): John Fletcher, Robert Fletcher, Thomas Fletcher, Fletcher Brothers
Claimant Lawyers(s): Jay J. Rice
Respondent(s): Kevin Ellman, Paul Miller, NFP Securities.
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Louis H. Miron, Karimu F. Hill-Harvey, John W. Thomas
Hearing Site: Newark, NJ
| | $240,600 |
| 13-03526 | 01/14/2015 | Claimant(s): Frank Cerisano
Claimant Lawyers(s): Samuel J. Lieberman
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Gary J. Mennitt
Arbitrator(s): Michael Fischetti, Karimu F. Hill-Harvey, Jay Alan Kranis
Hearing Site: Newark, NJ
| | $2,421,660 |
| 12-03708 | 10/15/2013 | Claimant(s): Sheryl Einsiedler
Claimant Lawyers(s): Robyne D. LaGrotta
Respondent(s): Royal Alliance Associates., Vincent Collaso
Respondent Lawyers(s): Steve F. Mellen
Arbitrator(s): Karimu F. Hill-Harvey, Edith M. Novack, Stewart E. Winner
Hearing Site: Newark, NJ
| | Expungement |
