| 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 |
| 16-01492 | 07/14/2017 | Claimant(s): Barbara Blethen, Christopher Wallace, Gerard Gawel, Marie Wallace
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Philip Fatta, Blackbook Capital, Legend Securities.
Respondent Lawyers(s): Franklin Ogele, Philip Orezio Fatta, Salvatore Caruso
Arbitrator(s): Daniel Robbins, Dolores D. Balsamo, Harrison Johnson
Hearing Site: New York, NY
| | $584,796 |
| 16-01479 | 06/14/2017 | Claimant(s): Robert Yun
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Mark Karow, Legend Securities.
Respondent Lawyers(s): Mark Alan Karow, Sergio Caruso
Arbitrator(s): Susan Manca
Hearing Site: New York, NY
| | $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 |
| 16-00105 | 01/19/2017 | Claimant(s): Russell Day
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Frank Fusco, John Calardo, Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber, Michael C. Farkas
Arbitrator(s): Sondra Sellars
Hearing Site: Chicago, IL
| | $300 |
| 16-01307 | 12/05/2016 | Claimant(s): Louis Schillinger
Claimant Lawyers(s): John A Hubbard
Respondent(s): Steven Meyer, Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber, Steven John Meyer
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
| | $52,480 |
| 16-00506 | 08/12/2016 | Claimant(s): Damon Binder
Claimant Lawyers(s): David Meyer
Respondent(s): Anthony Fusco, Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Susan M. Thevenet
Hearing Site: Des Moines, IA
| | $50,600 |
| 15-00994 | 06/16/2016 | Claimant(s): Waddell Jeffries
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Bertrand C. Moser, Alan M. Holzberg, Daniel Stephen Dexter
Hearing Site: Houston, TX
| | $80,600 |
| 15-01041 | 05/25/2016 | Claimant(s): Martin Brewer, Richard Weber
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Nicholas John Taldone, Diana A. Weiner, Jacquelyn M. Shannon
Hearing Site: Tampa, FL
| | $161,030 |
| 13-03347 | 08/25/2015 | Claimant(s): Michael Valenti
Claimant Lawyers(s): Michael Hill
Respondent(s): Legend Securities.
Respondent Lawyers(s): David Jarvis
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
| | Stipulated Award |
