| 23-01058 | 10/11/2023 | Claimant(s): Diane Alves
Claimant Lawyers(s): Diane Alves
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Mark G. Materna
Arbitrator(s): David S. Billet
Hearing Site: Jersey City, NJ
|  | $0 |
| 21-02929 | 10/20/2022 | Claimant(s): Margaret Bui-Quan
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Cetera Advisor Networks
Respondent Lawyers(s): Garry T. Stevens
Arbitrator(s): David S. Billet, Timothy Robert Hott, Roger Pierro
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 21-01011 | 07/15/2022 | Claimant(s): Ravshan Rakhmanov
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Andrew J. Melnick
Arbitrator(s): Michael H DuBoff, David S. Billet, Vanessa Lynn Van Brunt
Hearing Site: New York, NY
| | $0 |
| 20-03938 | 04/11/2022 | Claimant(s): Theresa Panza
Claimant Lawyers(s): Theresa Panza
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): David S. Billet, Lourdes Gomez, Daniel Engelstein
Hearing Site: New York, NY
| | $0 |
| 19-02695 | 05/11/2021 | Claimant(s): Frank Lestarchick
Claimant Lawyers(s): Mark E. Margiotta
Respondent(s): Alfonso Gialanella, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): David S. Billet
Hearing Site: Jersey City, NJ
| | $43,225 |
| 20-02274 | 12/10/2020 | Claimant(s): Carlos Baena
Claimant Lawyers(s): Carlos E. Baena
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): David S. Billet
Hearing Site: New York, NY
| | $0 |
| 18-04246 | 07/08/2019 | Claimant(s): Stephanie Stiefel, Neuberger Berman BD LLC
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Paulette Mintz, The Ginger Trust
Respondent Lawyers(s): Kearey Wan
Arbitrator(s): David S. Billet, Linda Yarden, Wayne I. Harris
Hearing Site: New York, NY
| | Expungement |
| 18-01353 | 06/26/2019 | Claimant(s): Janet Zagaro
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Steven Pagartanis
Respondent Lawyers(s): Steven Pagartanis
Arbitrator(s): David S. Billet, Julian F. Santos, Bernard Lieberman
Hearing Site: New York, NY
| | $1,462,000 |
| 17-02736 | 05/07/2019 | Claimant(s): Irwin and Madeline Lieber, Joint Tenants
Claimant Lawyers(s): Sam Schwartz
Respondent(s): David Turetzky, Morgan Stanley & Co., Jeffrey Cadan, Michael Paesano
Respondent Lawyers(s): David E. Robbins, Jeffrey Neil Cadan, William D. Briendel
Arbitrator(s): David S. Billet, Abigail R. Levy, Richard M. Gray
Hearing Site: New York, NY
| | Expungement |
| 15-02634 | 03/01/2019 | Claimant(s): Gordon Dootson
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Stephen Grivas, Obsidian Financial Group
Respondent Lawyers(s): Kevin Sharma, Stephen Grivas
Arbitrator(s): Joseph J. Arata, David S. Billet, Annamaria Boccia Smith
Hearing Site: New York, NY
| | $160,153 |
