| 22-02132 | 10/26/2023 | Claimant(s): Melvin Holson
Claimant Lawyers(s): Marc S. Gottlieb
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Roger Fox
Respondent Lawyers(s): Kathryn B. Rockwood
Arbitrator(s): Judith C. Zerden, John J. Mager, Paul Smith Besson
Hearing Site: New York, NY
|  | $0 |
| 22-00816 | 10/13/2022 | Claimant(s): Joel Ratzker
Claimant Lawyers(s): Joel Ratzker
Respondent(s): Transamerica Capital.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Judith C. Zerden
Hearing Site: New York, NY
| | $0 |
| 19-01625 | 02/25/2022 | Claimant(s): William P. Cella and Elaine F. Cella
Claimant Lawyers(s): Charles J. Hecht
Respondent(s): First Republic Investment Management Inc, First Republic Securities Company
Respondent Lawyers(s): Nicole Ryan
Arbitrator(s): Joan Maxine Secofsky, Judith C. Zerden, Madelon M. Rosenfeld
Hearing Site: New York, NY
| | $0 |
| 21-00369 | 12/28/2021 | Claimant(s): Fibonacci Capital
Claimant Lawyers(s): Frank T.M. Catalina
Respondent(s): Andrew Lewis, Sanctuary Securities.
Respondent Lawyers(s): Christopher S. Stake
Arbitrator(s): Larry A. Kimmel, Judith C. Zerden, Julian F. Santos
Hearing Site: New York, NY
| | $40,789 |
| 20-02623 | 09/16/2021 | Claimant(s): FPP CIS Opportunities Fund, L.P.
Claimant Lawyers(s): Samuel J. Lieberman
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): David Luger
Arbitrator(s): Judith C. Zerden, Kinchen C. Bizzell, Lawrence Williams
Hearing Site: New York, NY
| | $1,881,500 |
| 16-01569 | 01/19/2018 | Claimant(s): Dvora Weinstein, Steven Weinstein, Steven S Weinstein MD PC
Claimant Lawyers(s): Jacob Z. Weinstein
Respondent(s): Bryan Dunst, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Judith C. Zerden, Shelley Teitelbaum, Doris B. Nathan
Hearing Site: New York, NY
| | Expungement |
| 16-03179 | 01/18/2018 | Claimant(s): Gigi Jordan, The Hawk Mountain LLC, Michelle Mitchell, Intercession Trust
Claimant Lawyers(s): Daniel J. Kornstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth I. Schacter
Arbitrator(s): Judith C. Zerden, Ronald F. Rosner, Maya Steinitz
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 12-02595 | 06/05/2013 | Claimant(s): John Sisk
Claimant Lawyers(s): Timothy Feil
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Judith C. Zerden, Abe I. Borenstein, Denise L. Quarles
Hearing Site: New York, NY
| | $666,690 |
| 08-01910 | 09/17/2009 | Claimant(s): Robert Young
Claimant Lawyers(s): Robert C. Young
Respondent(s): Charles Teixeira, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Corin R. Swift
Arbitrator(s): Judith C. Zerden, Jacob Aschkenasy, Matthew Loguercio
Hearing Site: New York, NY
| | $0 |
