| 23-03373 | 08/22/2024 | Claimant(s): Vincent Gramuglia
Claimant Lawyers(s): Vincent Gramuglia
Respondent(s): Stephen Kyne, Cadaret, Grant & Co..
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Kenneth Dymond
Hearing Site: Albany, NY
|  | $0 |
| 23-02538 | 06/07/2024 | Claimant(s): Barnes Keller, Dale Hopkins, David Handy, Doug Ross, Kevin Major, Lawrence Clarke, Robert Burkett, Robert Grasso, Ted Brown
Claimant Lawyers(s): Brandon Dei
Respondent(s): Alexander Simpson, Derrick Walsh, Gary Wiedman, Kathy Faucher, Shawn Kinsella, Axos Clearing LLC
Respondent Lawyers(s): Carl S. Burkhalter
Arbitrator(s): Steven C. Kempisty, Esq.
Hearing Site: Albany, NY
| | Dismissed by Rule 12504 |
| 20-01555 | 02/09/2024 | Claimant(s): The Amvona Fund
Claimant Lawyers(s): Ian J. McLoughlin
Respondent(s): Christopher Pento, Joseph Vencil, Clear Street
Respondent Lawyers(s): Gayle R. Klein
Arbitrator(s): James E. Kleinbaum, Catherine Stewart, Michael A. Orticelle
Hearing Site: Albany, NY
| | $0 |
| 22-00277 | 11/10/2023 | Claimant(s): Brian Merriam, Judith Merriam
Claimant Lawyers(s): George J. Szary
Respondent(s): Morgan Stanley, Jeffrey Hollander
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): Linda A. Cotton, Jennifer L. Bliss, Thomas M. Madden
Hearing Site: Albany, NY
| | $200,000 |
| 20-03308 | 10/21/2021 | Claimant(s): Michele Gray
Claimant Lawyers(s): Michele Gray
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): David J. Pine, Keely D. Parr, Richard Gee
Hearing Site: Albany, NY
| | $0 |
| 20-01646 | 11/24/2020 | Claimant(s): Arthur Hombach
Claimant Lawyers(s): Robert D. Loventhal
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Anna M. Fanelli
Hearing Site: Albany, NY
| | $0 |
| 18-00227 | 03/28/2019 | Claimant(s): Christine Schlosser
Claimant Lawyers(s): Kelly Pressler
Respondent(s): Dean Heinemann, Clayborne Group LLC
Respondent Lawyers(s): David R. Wise
Arbitrator(s): Kenneth R. Hotopp, Ira A. Auerbach, Michael Jaffe
Hearing Site: Albany, NY
| | $250,000 |
| 17-02249 | 05/14/2018 | Claimant(s): Barbara Mittenberg
Claimant Lawyers(s): Barbara L Mittenberg
Respondent(s): Barbara Ginty
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Martin A. Edelstein
Hearing Site: Albany, NY
| | Expungement |
| 17-01272 | 01/03/2018 | Claimant(s): David Appel, Gimme Shelter
Claimant Lawyers(s): David W. Appel
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): David S. Billet, Timothy A Meigher, Martin A. Edelstein
Hearing Site: Albany, NY
| | Dismissed by Rule 12206 |
| 16-00201 | 09/30/2016 | Claimant(s): Robert Gray
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Isreal Torres, John Riccardi, Meyers Associates, L.P.
Respondent Lawyers(s): David A. Schrader, Isreal Wilfredo Torres, John F. Riccardi
Arbitrator(s): Jill I. Gross
Hearing Site: Albany, NY
| | $300 |
