| 21-00934 | 07/15/2022 | Claimant(s): Silvana Puglia-Elmo
Claimant Lawyers(s): David Vermont
Respondent(s): Daniel Sherman, Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Thomas M. Madden, Eric Zaidins, Gary Ford Munowitz
Hearing Site: New York, NY
|  | Expungement |
| 21-01011 | 07/15/2022 | Claimant(s): Ravshan Rakhmanov
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Andrew J. Melnick
Arbitrator(s): Michael H DuBoff, David S. Billet, Vanessa Lynn Van Brunt
Hearing Site: New York, NY
| | $0 |
| 21-01827 | 07/13/2022 | Claimant(s): Daniel Schoonover
Claimant Lawyers(s): Daniel L. Schoonover
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Robert Elliot Harrison
Hearing Site: New York, NY
| | $0 |
| 22-00302 | 07/12/2022 | Claimant(s): Rita Greenstein
Claimant Lawyers(s): Steven A. Gelfand
Respondent(s): David Lerner Associates., Daniel Lerner
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Albert Rizzo
Hearing Site: New York, NY
| | $23,480 |
| 19-00199 | 07/07/2022 | Claimant(s): Pearl Michaels
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Henley & Company LLC, Henley & Company Wealth Management LLC
Respondent Lawyers(s): Thomas M. Campbell
Arbitrator(s): Vincent C. Pangia, Edward F. Zagajeski, Gary Stuart Alpert
Hearing Site: New York, NY
| | $0 |
| 18-03808 | 07/05/2022 | Claimant(s): Francis Howard
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Danilo Fuentes, Jason Knapp, Dawson James Securities.
Respondent Lawyers(s): Gregg J. Breitbart, Jason T. Knapp
Arbitrator(s): Mary Jo Marchisello, Richard E. Castiglioni, Christine Meiers Schatz
Hearing Site: New York, NY
| | $99,000 |
| 21-01577 | 06/23/2022 | Claimant(s): Marko Gnann
Claimant Lawyers(s): Robert Volynsky
Respondent(s): Donovan Mannato, Morgan Stanley, Wells Fargo Clearing Services
Respondent Lawyers(s): Abigail Elrod, Andrew W. Sidman, Kevin D. Galbraith
Arbitrator(s): Sandra J. Mullings, Marion F. Posner, Vaughn Norman Browne
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 20-04112 | 06/08/2022 | Claimant(s): The Steven Sherb Irrevocable Trust
Claimant Lawyers(s): Ted Poretz
Respondent(s): Hightower Advisors
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Lise Gabrielle Hunter, Hammed Adeniyi, Phil-Elleana Maria Ficklin
Hearing Site: New York, NY
| | $0 |
| 21-02407 | 06/07/2022 | Claimant(s): Felix Dashevsky, The Dashevsky 2010 Trust
Claimant Lawyers(s): Felix Dashevsky
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Mitchell Regenbogen
Hearing Site: New York, NY
| | $0 |
| 17-03265 | 06/03/2022 | Claimant(s): Dwight Rose, Nancy Rose
Claimant Lawyers(s): Albert R. Murray
Respondent(s): Kevin Houser, Houser & Plessl Wealth Management Group,
Respondent Lawyers(s): Michael S. Taafee
Arbitrator(s): Annamaria Boccia Smith, Sirena Terr, Charlane Brown
Hearing Site: New York, NY
| | Expungement |
