| 20-02099 | 02/23/2022 | Claimant(s): Kevin O'Neill
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Mark Kolta
Respondent Lawyers(s): Tosh Grebenik
Arbitrator(s): Richard W. Vallario, Lori H. Carena, Gerald M. Levine
Hearing Site: New York, NY
|  | $0 |
| 20-02079 | 04/27/2021 | Claimant(s): Mikedmat Dena Inc.
Claimant Lawyers(s): John Dellaportas
Respondent(s): Morgan Stanley, Jacob Shapira
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Howard L. Sobel, Lori H. Carena, Alan Robert Sacks
Hearing Site: New York, NY
| | $782,279 |
| 15-01122 | 03/09/2016 | Claimant(s): Michael Butler
Claimant Lawyers(s): Elizabeth Goldman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Lori H. Carena
Hearing Site: New York, NY
| | $0 |
| 11-03049 | 08/16/2013 | Claimant(s): Monica Sidaoui
Claimant Lawyers(s): Mark David Hunter
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas Briody
Arbitrator(s): Pamela H. Roderick, Ann Pinciss Berman, Lori H. Carena
Hearing Site: New York, NY
| | Expungement |
| 10-05276 | 12/23/2011 | Claimant(s): John Puglisi
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Lori H. Carena
Hearing Site: New York, NY
| | Expungement |
| 10-01909 | 12/01/2010 | Claimant(s): James Harrington
Claimant Lawyers(s): James E Harrington
Respondent(s): Securities America.
Respondent Lawyers(s): Kelly R. Davis
Arbitrator(s): Madelyn A. Levy, David J. Pine, Lori H. Carena
Hearing Site: New York, NY
| | $0 |
| 09-01789 | 05/06/2010 | Claimant(s): Robert Palumbo
Claimant Lawyers(s): Robert Palumbo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Robert M. Goldstein, Lori H. Carena, Joan Marie Chiusano
Hearing Site: New York, NY
| | $0 |
| 07-03351 | 07/22/2009 | Claimant(s): D.B. Toy Products., Marilyn Brechener TTEE Gertrude Sussel
Claimant Lawyers(s): Sidney A. Weisberg
Respondent(s): Patrick Rathje, Sky Capital LLC
Respondent Lawyers(s): Fran Duffy, Patrick Rathje
Arbitrator(s): Lori H. Carena, Alun Hywel Jones, Daniel J. Cristofano
Hearing Site: New York, NY
| | $0 |
| 08-04887 | 06/23/2009 | Claimant(s): Humberto Gimenez, Humberto Gimenez Corporation
Claimant Lawyers(s): Humberto Gimenez
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): John Montone
Arbitrator(s): Lori H. Carena
Hearing Site: New York, NY
| | $0 |
| 07-03417 | 10/30/2008 | Claimant(s): Brant Kantor, Joel Kantor, Sue & Joe Kantor
Claimant Lawyers(s): Michael Bedell
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Lori H. Carena
Hearing Site: New York, NY
| | $0 |
