| 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 |
