| 15-03454 | 07/17/2018 | Claimant(s): Market Bridge Capital Global Macro
Claimant Lawyers(s): Robert Miller
Respondent(s): Ladenburg Thalmann & Co. Inc.
Respondent Lawyers(s): Michael D. Handelsman
Arbitrator(s): Joan Marie Chiusano, Joseph I. Liebman, Sandra Holtzman
Hearing Site: New York, NY
|  | $0 |
| 12-02032 | 03/03/2014 | Claimant(s): Daniel Baron
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Adam Riback, National Securities Corporation
Respondent Lawyers(s): Richard A. Roth
Arbitrator(s): Fred S. Pieroni, Barbara Weisman, Joan Marie Chiusano
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 11-04681 | 09/18/2013 | Claimant(s): Roger Davidson, Redwood F Trust, Redwood II F Trust, FBO Naomi Davidson, FBO William Davidson, Redwood II Trust, Robin II Trust, Roger C. Davidson Revocable Trust
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Romaine L. Gardner, Sandra J. Mullings, Joan Marie Chiusano
Hearing Site: New York, NY
| | Expungement |
| 10-02584 | 04/25/2012 | Claimant(s): Karabi Sinha
Claimant Lawyers(s): Barry R. Lax
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Cynthia H. Plishtin, Robert E. Anderson, Joan Marie Chiusano
Hearing Site: Newark, NJ
| | $154,479 |
| 10-04661 | 11/01/2011 | Claimant(s): Claire Cicalese
Claimant Lawyers(s): Alan Gilmore
Respondent(s): James Gaul, Jeffrey Rachlin, Alternative Wealth Strategies.
Respondent Lawyers(s): James C. Gaul, James Carl Gaul, Jeffrey Rachlin
Arbitrator(s): Robert E. Anderson, Barbara Weisman, Joan Marie Chiusano
Hearing Site: Newark, NJ
| | $97,000 |
| 09-02871 | 06/04/2010 | Claimant(s): David Wechsler and Amy Wechsler JT/TIC
Claimant Lawyers(s): David E. Robbins
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Megan Shea-Harwick
Arbitrator(s): Alan K. Bloom, Joan Marie Chiusano, Daniel P. Lund
Hearing Site: New York, NY
| | $1,319,800 |
| 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 |
| 07-01816 | 05/21/2008 | Claimant(s): Charles R. Cariello and Marie Cariello
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Carlos Otalvaro, Christopher Jolly, Frank Donnauro, Marco Gulino, Wallstreet Electronica.
Respondent Lawyers(s): Alan M. Wolper, Christopher Jolly, Frank Donnauro, Marco Gulino
Arbitrator(s): Linda Ashley, Joan Marie Chiusano, Myrna E. DeJesus
Hearing Site: New York, NY
| | $0 |
