| 20-00600 | 10/20/2020 | Claimant(s): Mridula Anbarasan
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Julian F. Santos, Catherine Stewart, James F. Rohrman
Hearing Site: Newark, NJ
|  | Dismissed by Rule 12206/12504 |
| 19-03731 | 08/04/2020 | Claimant(s): Abbas Elcheikhali
Claimant Lawyers(s): Stephen M. Sammarro
Respondent(s): SogoTrade.
Respondent Lawyers(s): Robert J. Benbenek
Arbitrator(s): Louis H Miron
Hearing Site: Newark, NJ
| | $51,890 |
| 19-03089 | 07/21/2020 | Claimant(s): Ustocktrade Securities.
Claimant Lawyers(s): Francesco Matteini
Respondent(s): Mayur Baviskar
Respondent Lawyers(s): Mayur Baviskar
Arbitrator(s): Denise L. Quarles
Hearing Site: Newark, NJ
| | $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 |
| 20-00338 | 06/25/2020 | Claimant(s): William DeFeo
Claimant Lawyers(s): William Defeo
Respondent(s): TD Ameritrade Clearing., TD Ameritrade., TD Ameritrade Investment Management LLC
Respondent Lawyers(s): Ilana Herscovitz Reid
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | $125 |
| 19-00804 | 05/15/2020 | Claimant(s): Sheryl Starr, Helen Schlesinger Trust
Claimant Lawyers(s): Jason Albin
Respondent(s): Charles Botchway, Paul McIntyre, Robert Fehrman, MSC - BD
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Michael H DuBoff, Annamaria Boccia Smith
Hearing Site: Newark, NJ
| | $0 |
| 19-01765 | 05/06/2020 | Claimant(s): Anne Marie Roberts
Claimant Lawyers(s): Alex E. Rogers
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Peter Grayson
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Sam Antar
Hearing Site: Newark, NJ
| | $0 |
| 18-01725 | 04/03/2020 | Claimant(s): Peter Josten
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): LPL Financial LLC, Moors & Cabot.
Respondent Lawyers(s): George D. Sullivan, Robert A. Giacovas
Arbitrator(s): Robert E. Anderson, Suzanne M. Carter, Linda Frances Spiegel
Hearing Site: Newark, NJ
| | $0 |
| 18-04026 | 03/31/2020 | Claimant(s): Howard Dubinett, Jacqueline Dubinett
Claimant Lawyers(s): Lars Soreide
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David G. Buffa
Arbitrator(s): Louis H Miron, F. Peter Phillips, Jonathan Proman
Hearing Site: Newark, NJ
| | $0 |
| 18-03754 | 02/19/2020 | Claimant(s): David and Linda Watts JTWROS
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): Brian Wurdemann, Morgan Stanley, UBS Financial Services Inc.
Respondent Lawyers(s): Adam Kauff, Anthony J. Borrelli, Brian M. Wurdemann
Arbitrator(s): Philip Levine, Catherine Stewart, Bryan David Glass
Hearing Site: Newark, NJ
| | $175,000 |
