| 22-01915 | 01/26/2024 | Claimant(s): Paul De Villeneuve
Claimant Lawyers(s): Paul Y. De Villeneuve
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Marjorie Levine, Hammed Adeniyi, Jonathan Blank
Hearing Site: New York, NY
|  | $440 |
| 22-02525 | 12/29/2023 | Claimant(s): Dale Deutsch, Lou Deutsch, Dale G. Deutsch Revocable Living Trust, Lou C. Deutsch Revocable Living Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Arthur Neil Tolciss, Barry Steven Port, Mitchell Regenbogen
Hearing Site: New York, NY
| | Expungement |
| 21-02199 | 12/19/2023 | Claimant(s): John Russo, Maureen Russo, John Russo IRA, Maureen Russo IRA
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Euguene L. Small
Arbitrator(s): Sandra Holtzman, Thomas M. Madden, Carla Brydson
Hearing Site: New York, NY
| | Expungement |
| 22-02485 | 12/19/2023 | Claimant(s): William Repicci, The William J. Repicci IRA, The William J. Repicci Roth IRA
Claimant Lawyers(s): Dietrich Peter Epperson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Kent L. Benziger
Hearing Site: New York, NY
| | $0 |
| 23-00833 | 12/06/2023 | Claimant(s): Apex Clearing Corporation
Claimant Lawyers(s): Jonathan D. Neerman
Respondent(s): Hui Zou
Respondent Lawyers(s): Hui Zou
Arbitrator(s): Keely D. Parr, Ronald J. Colombo
Hearing Site: New York, NY
| | $0 |
| 20-04080 | 12/04/2023 | Claimant(s): Alexander Kuznetsov
Claimant Lawyers(s): Alexander Kuznetsov
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Shelley Teitelbaum, Donald N. Cohen, Eugene G. P. Byrne
Hearing Site: New York, NY
| | Dismissed by Rule 12212 and 12511 |
| 22-01838 | 11/20/2023 | Claimant(s): Harvey Silver, The Estate of Gladys Silver
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): E*Trade Securities LLC, TD Ameritrade.
Respondent Lawyers(s): Frank J. Cuccio, Joseph E. Floren
Arbitrator(s): Elizabeth Gilbert, Edward W. Morris, John Franklin Udochi
Hearing Site: New York, NY
| | $440 |
| 23-00555 | 11/08/2023 | Claimant(s): Rocco Carriero
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Michael Langella, Nancy Dubin
Respondent Lawyers(s): Michael S. Langella, Nancy Dubin
Arbitrator(s): Ann C. Northern, Damien Bosco, Sofia Balile
Hearing Site: New York, NY
| | Expungement |
| 21-01965 | 11/08/2023 | Claimant(s): Julie O'Rourke
Claimant Lawyers(s): Pierre Ciric
Respondent(s): Morgan Stanley, Kathleen Entwistle, UBS Financial Services Inc.
Respondent Lawyers(s): Amanda Parisi, Anastasia B. Wohar, David I. Hantman
Arbitrator(s): Oliver W. Williams, Andrew M. Schmertz, Richard Gary Stelnik
Hearing Site: New York, NY
| | Expungement |
| 22-00501 | 11/06/2023 | Claimant(s): Disruptive Ventures
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Erika Mckiernan, Greg Brogger, Forge Securities LLC
Respondent Lawyers(s): Daniel Zinman, David A. Kotler
Arbitrator(s): Peter A. Goldman, Laura Carraher, Ira A. Auerbach
Hearing Site: New York, NY
| | Expungement |
