| 20-04112 | 06/08/2022 | Claimant(s): The Steven Sherb Irrevocable Trust
Claimant Lawyers(s): Ted Poretz
Respondent(s): Hightower Advisors
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Lise Gabrielle Hunter, Hammed Adeniyi, Phil-Elleana Maria Ficklin
Hearing Site: New York, NY
|  | $0 |
| 18-00204 | 08/21/2018 | Claimant(s): Michael Huddles
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Joseph Delay
Respondent Lawyers(s): Joseph Delay
Arbitrator(s): Fred S. Pieroni, Lise Gabrielle Hunter, Joan Seewald Brodsky
Hearing Site: New York, NY
| | Expungement |
| 17-00380 | 05/09/2018 | Claimant(s): Seth Martin, Carla & Nicole Martin Family Trust
Claimant Lawyers(s): Mark J. Krudys
Respondent(s): Christine Abbott, UBS Financial Services Inc., Todd Feldman
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Lise Gabrielle Hunter, Anna M. Fanelli, Judith B Weinstock
Hearing Site: New York, NY
| | Expungement |
| 15-00373 | 05/27/2016 | Claimant(s): Ian Preskett
Claimant Lawyers(s): Michael Liik
Respondent(s): Christopher Veale
Respondent Lawyers(s): Christopher Frederic Veale
Arbitrator(s): Lise Gabrielle Hunter
Hearing Site: New York, NY
| | $42,055 |
| 15-02808 | 02/12/2016 | Claimant(s): Ian Preskett
Claimant Lawyers(s): Michael Liik
Respondent(s): Anthony Lodati, Brookville Capital Partners
Respondent Lawyers(s): Anthony F. Lodati, Gabriel Lezzoni
Arbitrator(s): Lise Gabrielle Hunter
Hearing Site: New York, NY
| | $42,055 |
| 14-03340 | 07/15/2015 | Claimant(s): Anthony Caggiano
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Lise Gabrielle Hunter, Roger L Gavan, Alan Gradzki
Hearing Site: New York, NY
| | Expungement |
| 13-02540 | 05/28/2015 | Claimant(s): Anne Rapp, Brian Vaughn, Brooks Culley, Charles Bigelow, Charles Redfearn, David Kells, Frank Piraino, Frank Vaughn, George Skaates, Harold Stulbaum, Howard Applebaum, Joseph Rapp, Joseph Reale, Michael King, Nikki Applebaum, Regina Kinney, Richard Lenhart, Robert Kinney, Robert Starzel, Ronald Vaughn, et al
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Anthony Lodati, Brookville Capital Partners
Respondent Lawyers(s): Brett D. Zinner
Arbitrator(s): Lise Gabrielle Hunter, Thomas D. Giordano, Linda J. Baer
Hearing Site: New York, NY
| | $2,692,600 |
| 13-00938 | 03/10/2015 | Claimant(s): William Farrington, Academy Rubber Stamp.
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): LPL Financial LLC, Douglas Flynn, Richard Zito, Flynn Zito Capital Management
Respondent Lawyers(s): Ryan Gustafson
Arbitrator(s): Lise Gabrielle Hunter, Steven J. Brill, Geri S. Krauss
Hearing Site: New York, NY
| | Expungement |
| 12-04071 | 12/30/2014 | Claimant(s): Morris Barkey
Claimant Lawyers(s): Larry Dub
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Joseph A. Vallo
Arbitrator(s): Michael T. Curley, Lise Gabrielle Hunter, Ronald J. Colombo
Hearing Site: New York, NY
| | $0 |
| 09-03694 | 11/12/2014 | Claimant(s): Jack Robbins, Myrna Robbins
Claimant Lawyers(s): Michael S. Finkelsetein
Respondent(s): Eric Kash, James Ackerman, Basic Investors Inc.
Respondent Lawyers(s): Alex D. Widell, Richard Belz, Thomas Vays
Arbitrator(s): Lise Gabrielle Hunter, Mark Mendley, Thomas A. Abitabile
Hearing Site: New York, NY
| | $300,000 |
