23-01389 | 07/16/2024 | Claimant(s): David Hartmann Claimant Lawyers(s): Lars K. Soreide Respondent(s): David Page, SW Financial Respondent Lawyers(s): Axos Clearing LLC, David Hilton Page Arbitrator(s): Lynne M. Reid-McQueen, James M. Rhodes, Jonathan Blank Hearing Site: New York, NY
| | $135,000 |
21-00179 | 07/01/2021 | Claimant(s): Aliaksandr Ginzburg Claimant Lawyers(s): Aliaksandr Ginzburg Respondent(s): Interactive Brokers Respondent Lawyers(s): Carlos E. Provencio Arbitrator(s): James M. Rhodes Hearing Site: New York, NY
| | $0 |
20-00534 | 09/17/2020 | Claimant(s): Patricia Caporizzo Claimant Lawyers(s): Patricia A Caporizzo Respondent(s): Alan Sokol, Carl Susnitzky, Oppenheimer & Co.. Respondent Lawyers(s): John T. McGuire Arbitrator(s): James M. Rhodes Hearing Site: New York, NY
| | $0 |
18-03755 | 07/01/2020 | Claimant(s): Stanley Kulesza Claimant Lawyers(s): Richard D. DeVita Respondent(s): TD Ameritrade. Respondent Lawyers(s): Simeon Schopf Arbitrator(s): Sam Antar, Scott M. Pellegrino, James M. Rhodes Hearing Site: Newark, NJ
| | $0 |
16-01714 | 12/09/2019 | Claimant(s): Claude Asiane Claimant Lawyers(s): Claude Asiane Respondent(s): Michael Rapley, Andrew Garrett Inc. Respondent Lawyers(s): Barry Bordetsky Arbitrator(s): Ann C. Northern, James M. Rhodes, Katherine Cooper Hearing Site: New York, NY
| | Dismissed |
17-03381 | 11/19/2019 | Claimant(s): J. Kirby Fowler, Patrica Fowler, J. Kirby & Patricia O. Fowler Irr. Trust Claimant Lawyers(s): Michael W. Starr Respondent(s): John McGinty, AXA Advisors Respondent Lawyers(s): Cheryl Howard, Dennis Dice Arbitrator(s): James M. Rhodes, Bryan David Glass Hearing Site: Newark, NJ
| | $0 |
15-01108 | 10/08/2018 | Claimant(s): Mary Whalen Claimant Lawyers(s): Tyler Korn Respondent(s): TD Ameritrade. Respondent Lawyers(s): James Vihstadt Arbitrator(s): James M. Rhodes Hearing Site: New York, NY
| | $0 |
18-00182 | 08/01/2018 | Claimant(s): Amy Kornblau, David Kornblau, Joel Kornblau Claimant Lawyers(s): Anthony Michael Sabino Respondent(s): Harry Datys, Westpark Capital. Respondent Lawyers(s): Julie Kamps Arbitrator(s): James M. Rhodes Hearing Site: New York, NY
| | $300 |
17-01510 | 06/06/2018 | Claimant(s): Wendy Marcus Claimant Lawyers(s): Paul A. Lieberman Respondent(s): Richard Feldman, Barclays Capital Inc. Respondent Lawyers(s): David G. Russell Arbitrator(s): Paul J. Camilleri, Richard W. Cutler, James M. Rhodes Hearing Site: New York, NY
| | $0 |
15-01057 | 01/20/2016 | Claimant(s): Leonora Combattente Claimant Lawyers(s): Leonora Combattente Respondent(s): Eric Taitz, Royal Alliance Associates. Respondent Lawyers(s): Eric Taitz, Ronald W. Sannicandro Arbitrator(s): James M. Rhodes Hearing Site: New York, NY
| | $300 |