| 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 |
| 19-01881 | 12/27/2019 | Claimant(s): Michael Rowan IRA
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Adam Morsi, Michael Guilfoyle, Legend Securities.
Respondent Lawyers(s): Hisham Hamed, Michael Nicholas Guilfoyle, Salvatore Caruso
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | $36,000 |
| 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 |
| 15-00484 | 05/15/2019 | Claimant(s): John Kenyon
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Anthony Sercia, Jason Klabal, Mario Sclafani, Michael Androulakis, Legend Securities.
Respondent Lawyers(s): Anthony Frank Sercia, Jason Harris Klabal, Mario Charles Sclafani, Salvatore Caruso, Scott Holcomb
Arbitrator(s): Sidney N. Weiss, Michele S. Riley, Ronald Jay Horowitz
Hearing Site: New York, NY
| | Expungement |
| 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 |
| 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 |
