| 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 |
| 21-01424 | 08/05/2022 | Claimant(s): Helen Esposito, John Esposito
Claimant Lawyers(s): Paul Radvany
Respondent(s): Zachary Armstrong, Hennion & Walsh.
Respondent Lawyers(s): Jennifer Woods Burke
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | $42,557 |
| 17-00676 | 08/05/2019 | Claimant(s): Juan Sequeda, Sonia Torres Subira
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | Expungement |
| 16-00473 | 07/31/2019 | Claimant(s): Gregory Smyth, Mary Smyth, GPS & MCS Limited Partnership
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Fred S. Pieroni, Laura Carraher, Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | $0 |
| 16-00205 | 06/22/2018 | Claimant(s): Aviva Rahmani
Claimant Lawyers(s): Corban S. Rhodes
Respondent(s): David Altman, Sanford C. Bernstein & Co., Leonard Hersh
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Lynne M. Reid-McQueen, Stephen A. Weiner, Elliot Schnapp
Hearing Site: New York, NY
| | Expungement |
| 16-01877 | 12/29/2017 | Claimant(s): Bright Lake Management LLC, Bright Lake LP
Claimant Lawyers(s): Ilan Preis
Respondent(s): Broadcort Capital Corporation, Jack Seibald, Merrill Lynch Pierce Fenner & Smith Inc., Michael Rosen, Robert Moore, Concept Capital Markets, Cowen Prime Services LLC, Merrill Lynch Professional Clearing Corp
Respondent Lawyers(s): Mark D. Knoll, Mark J. Hyland
Arbitrator(s): Anna M. Fanelli, Lynne M. Reid-McQueen, Richard Gee
Hearing Site: New York, NY
| | $0 |
| 16-01147 | 11/30/2017 | Claimant(s): Kulruedee Wongpakdee, Steven Hoffner
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Jack Seibald, Michael Rosen, Wayne Geffen, Burnham Securities Inc., Cowen Prime Services LLC, Concept Capital Markets LLC
Respondent Lawyers(s): John Burnham, Jordan D. Becker, Mark J. Hyland
Arbitrator(s): Cynthia A. DiMarco, Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | Expungement |
| 13-00917 | 03/09/2016 | Claimant(s): Jiu Zhang
Claimant Lawyers(s): Stephen A. Katz
Respondent(s): George Carris, Brockington Securities., John Carris Investments LLC
Respondent Lawyers(s): George Carris, Robert Delvecchio
Arbitrator(s): Evdokia Sofos, Lynne M. Reid-McQueen, Alejandro Miguel Garro
Hearing Site: New York, NY
| | $0 |
| 13-03115 | 01/30/2015 | Claimant(s): Barry Mankowitz, Barry J. Mankowitz, M.D. IRA
Claimant Lawyers(s): Edward A. Paltzik
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Lynne M. Reid-McQueen, Mary Lou McGanney, Louis P. Wagman
Hearing Site: New York, NY
| | $202,961 |
| 14-01082 | 10/03/2014 | Claimant(s): Jean Boisnier
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | $213 |
