22-00075 | 08/22/2023 | Claimant(s): Allen Chick Claimant Lawyers(s): David Vermont Respondent(s): John Slipek, Joseph Amato, Nick Filippo, Alexander Capital, L.P. Respondent Lawyers(s): Scott Holcomb Arbitrator(s): Peter Khalil Hearing Site: Portland, OR
| | Expungement |
18-03984 | 12/04/2020 | Claimant(s): Larry Schmalz, Robin Schmalz Claimant Lawyers(s): Daniel D'Costa Respondent(s): David Spratt, Joseph Amato, Kujtim Lulani, Michael Castillero, Rocco Guidicipietro, Thomas Sullivan, Alexander Capital, L.P. Respondent Lawyers(s): Lawrence R. Gelber, Scott Holcomb Arbitrator(s): Royce Russell, Gerald M. Levine, Peter E. Gillespie Hearing Site: New York, NY
| | Settlement |
19-01497 | 11/11/2019 | Claimant(s): Edward Engbarth Claimant Lawyers(s): Edward Engbarth Respondent(s): Joseph Amato, Alexander Capital, L.P. Respondent Lawyers(s): Martin P. Unger Arbitrator(s): Marc Kalish Hearing Site: Phoenix, AZ
| | $10,141 |
13-03605 | 07/07/2017 | Claimant(s): Gregory Cohen Claimant Lawyers(s): Adam J. Weinstein Respondent(s): Baris Dincer, Daniel Mendoza, Francine Lanaia, Joseph Amato, RBC Capital Markets LLC, Alexander Capital, L.P. Respondent Lawyers(s): Baris Dincer, Daniel Manuel Mendoza, Francine Ann Lanaia, Frank J. Cuccio, Scott Holcomb Arbitrator(s): William E. Nuckel, Christine Moore, Mary Julia O'Connell Hearing Site: New York, NY
| | $0 |
10-02252 | 07/15/2011 | Claimant(s): Ira Robb, Iracini Equity, Edward W. Leshin Rollover IRA, Ira Robb Rollover IRA, Almalech Living Trust Claimant Lawyers(s): Alan F. Block Respondent(s): Brad Cetron, Bradley Tank, Brian Hahn, Edward Grieb, Joseph Amato, Neuberger Berman LLC Respondent Lawyers(s): Seth M. Schwartz Arbitrator(s): Ray J. Grzebielski, Matthew P. Hardy, G. Marshall Abbey Hearing Site: Chicago, IL
| | $323,420 |
04-00832 | 10/25/2007 | Claimant(s): Georgette Amato, Joseph Amato, JJR Realty Co. Claimant Lawyers(s): Monica E. De Los Rios Respondent(s): Joseph Berkery, Merrill Lynch Pierce Fenner & Smith Inc., Mike Leber Respondent Lawyers(s): David J. Libowsky Arbitrator(s): Dennis C. Meyerson, Frank Irizarry, Allen D. Unterweiser Hearing Site: New York, NY
| | Stipulated Award and Expungement |