| 19-01728 | 01/26/2021 | Claimant(s): Herbert Cohen
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): National Securities Corporation, Scott Matalon
Respondent Lawyers(s): Frank J. Cuccio, Fred Knopf
Arbitrator(s): Fern Sue Reidman, Ellyn S. Roth, Anna Lascar
Hearing Site: New York, NY
|  | Expungement |
| 19-00513 | 11/13/2020 | Claimant(s): Donna Nicosia
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Aubrey Lees, Betty Chen, Ariel Aminov
Hearing Site: New York, NY
| | Settlement |
| 13-03605 | 07/07/2017 | Claimant(s): Gregory Cohen
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Baris Dincer, Daniel Mendoza, Francine Lanaia, Joseph Amato, RBC Capital Markets LLC, Alexander Capital, L.P.
Respondent Lawyers(s): Baris Dincer, Daniel Manuel Mendoza, Francine Ann Lanaia, Frank J. Cuccio, Scott Holcomb
Arbitrator(s): William E. Nuckel, Christine Moore, Mary Julia O'Connell
Hearing Site: New York, NY
| | $0 |
| 14-02122 | 05/22/2017 | Claimant(s): Aida Mancini, Conchita Rivera, Joaqmar.
Claimant Lawyers(s): Francisco Pujol, Harold D. Vicente-Colon
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Frank J. Cuccio, Matthew C. Plant
Arbitrator(s): Monroe Mitchel, Keith L. Saunders, Robert Stewart Barney
Hearing Site: San Juan, PR
| | Expungement |
| 15-01654 | 11/28/2016 | Claimant(s): Joseph Dotolo, Joseph R. Dotolo Rev Trust, Joseph R. Dotolo TTEE
Claimant Lawyers(s): Paul J. Pisano
Respondent(s): Kirstin Turner, Lisa Lowi, RBC Capital Markets LLC
Respondent Lawyers(s): Frank J. Cuccio, Jason S. Haselkon
Arbitrator(s): Joseph Charles Kennedy
Hearing Site: Providence, RI
| | $0 |
| 13-02531 | 06/02/2014 | Claimant(s): Stuart Cahn
Claimant Lawyers(s): Marc Cahn
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
| | Expungement |
| 09-06998 | 06/18/2013 | Claimant(s): Burton Langer
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): Charles Schwab & Co.., Matthew Weitzman
Respondent Lawyers(s): Frank J. Cuccio, Matthew Weitzman
Arbitrator(s): Mark Mendley, Michael Peter Yahr, Michael S. Lazan
Hearing Site: New York, NY
| | $2,750,000 |
| 09-00950 | 05/27/2010 | Claimant(s): Catalyst Health Solutions.
Claimant Lawyers(s): Bruce V. Spiva
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Albert D. Sturtevant, Michael H. McConihe, Bryan Thomas Di Lella
Hearing Site: Washington, DC
| | $9,750,000 |
| 08-04212 | 04/09/2010 | Claimant(s): Janet Marcus, Marcus Kappel & Co. 401K, David Marcus Profit Sharing Plan
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Fred S. Pieroni, Alvin Green, Denise L. Quarles
Hearing Site: New York, NY
| | $490,610 |
| 07-00627 | 12/16/2008 | Claimant(s): Alfred T. Peng and Diana Peng
Claimant Lawyers(s): Feng Li
Respondent(s): David Gabay, Mutual Service Corporation
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Craig Scott Bartlett, Scott M. Pellegrino, S. Charles Tabak
Hearing Site: Newark, NJ
| | $0 |
