| 19-00102 | 04/07/2020 | Claimant(s): Jay Brandt
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Richard Coleman, Legend Securities.
Respondent Lawyers(s): Richard James Coleman, Salvatore C. Caruso
Arbitrator(s): Michael Fischetti, Robin David Bleecher, Louis P. Wagman
Hearing Site: Wilmington, DE
|  | $110,913 |
| 19-00641 | 02/03/2020 | Claimant(s): Louis Colonna
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ali Mayar, Daniel King, Francis Smookler, Yousuf Saljooki, Brookville Capital Partners, Legend Securities.
Respondent Lawyers(s): Brett D. Zinner, Gabriel Iezzoni, Robert M. Bursky, Ross J. Kartez, Salvatore C. Caruso, Yousuf Saljooki
Arbitrator(s): Robert J. Scafuri, John W. Eichleay, Mary Kathleen Coleman
Hearing Site: Pittsburgh, PA
| | $150,000 |
| 15-00802 | 06/25/2019 | Claimant(s): Frederick Blake
Claimant Lawyers(s): Neil B. Solomon
Respondent(s): Anthony Fusco, Bernardo Misseri, Brian Decker, Steven Meyer, Legend Securities.
Respondent Lawyers(s): Anthony Fusco, Bernardo Misseri, Brian K. Decker, Salvatore C. Caruso, Steven J. Meyer
Arbitrator(s): Edward R. Niederriter, Mark I. Roth, Robert J. Buchner
Hearing Site: Boca Raton, FL
| | $967,008 |
| 17-03193 | 03/14/2019 | Claimant(s): Michael Potts
Claimant Lawyers(s): Bradley Schnur
Respondent(s): Michael Freeman, Legend Securities.
Respondent Lawyers(s): Michael Edgar Freeman, Salvatore C. Caruso
Arbitrator(s): John J. Mager
Hearing Site: Hartford, CT
| | $67,361 |
| 17-00910 | 11/23/2018 | Claimant(s): Herbert Voss
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Danard Brown, Frank Fusco, Legend Securities.
Respondent Lawyers(s): Danard W. Brown, Frank Philip Fusco, Salvatore C. Caruso
Arbitrator(s): Benjamin L. Anderson, Michele S. Riley, Wallace Anthony Showman
Hearing Site: New York, NY
| | $1,075,000 |
| 17-00826 | 11/08/2018 | Claimant(s): Adam Franzen
Claimant Lawyers(s): Rosemary Cooney
Respondent(s): Daniel King, Frank Fusco, Michael Stanton, Legend Securities.
Respondent Lawyers(s): Frank P. Fusco, Michael S. Stanton, Ross J. Kartez, Salvatore C. Caruso
Arbitrator(s): Ellen J. Abrams
Hearing Site: Boca Raton, FL
| | $0 |
| 17-00452 | 07/20/2018 | Claimant(s): Andres Romero
Claimant Lawyers(s): David Neuman
Respondent(s): Legend Securities.
Respondent Lawyers(s): Salvatore C. Caruso
Arbitrator(s): Thomas R. Bromberg
Hearing Site: Albuquerque, NM
| | $48,266 |
| 17-00115 | 08/10/2017 | Claimant(s): Harold Kaplan
Claimant Lawyers(s): Steven G Storch
Respondent(s): Legend Securities.
Respondent Lawyers(s): Salvatore C. Caruso
Arbitrator(s): Sanford J. Prizant, Epaminondas Eddie Manelis, Lisa M. Krimen
Hearing Site: Chicago, IL
| | $0 |
| 15-02971 | 05/15/2017 | Claimant(s): Susan Monaco, Luke Monaco Custodian Account
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Alexander Capital, L.P., Legend Securities.
Respondent Lawyers(s): Aaron Wright, Salvatore C. Caruso
Arbitrator(s): Steven R. Bralove, David Paul Clark, Jane A. Smith
Hearing Site: Washington, DC
| | $0 |
