| 23-00069 | 06/29/2023 | Claimant(s): Jennifer Meier, Sean Cowan
Claimant Lawyers(s): Jennifer Kim Meier, Sean Patrick Cowan
Respondent(s): MainVest.
Respondent Lawyers(s): Nick Mathews
Arbitrator(s): Ronald Harris Kisner
Hearing Site: New York, NY
|  | $0 |
| 20-03526 | 06/22/2023 | Claimant(s): Alprime Capital AG, NorCap Absolute Return Fund UCITS
Claimant Lawyers(s): Sam A. Silverstein
Respondent(s): E D & F Man Capital Markets Inc.
Respondent Lawyers(s): LisaMarie Collins
Arbitrator(s): Daniel Robbins, Anna Lascar, Barry Jay Mandel
Hearing Site: New York, NY
| | $0 |
| 22-02707 | 06/16/2023 | Claimant(s): Diane Civetta
Claimant Lawyers(s): Diane Civetta
Respondent(s): Anthony Hollenbeck, E*Trade Securities LLC, Michael Evans
Respondent Lawyers(s): John Bersin
Arbitrator(s): Mary Julia O'Connell
Hearing Site: New York, NY
| | $300 |
| 21-03123 | 06/16/2023 | Claimant(s): BPY Limited, Murchinson LTD, Nomis Bay Limited
Claimant Lawyers(s): David S. Richan
Respondent(s): Cassel Shapiro, Paul Zogala, Robert Eide, Aegis Capital Corp.
Respondent Lawyers(s): Aaron F. Miner, David S. Richan, Richard A. Roth
Arbitrator(s): Peter A. Goldman, Jeffrey Alan Helewitz, Sherman Guo
Hearing Site: New York, NY
| | $0 |
| 21-02569 | 06/13/2023 | Claimant(s): Jennifer Matheson, Michael Matheson
Claimant Lawyers(s): Michael J. Giarrusso
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Cynthia A. DiMarco, Jeanne M. Keefe, Noah Jonathan Hanft
Hearing Site: New York, NY
| | Expungement |
| 21-02879 | 06/08/2023 | Claimant(s): Roger Squires
Claimant Lawyers(s): Roger B. Squires
Respondent(s): Laidlaw & Company (UK) Ltd.
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): Morton S. Bunis, Edward W. Morris, Stefan Savic
Hearing Site: New York, NY
| | $0 |
| 20-01209 | 06/07/2023 | Claimant(s): Len Ventura
Claimant Lawyers(s): Lance C. McCardle
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Joan Maxine Secofsky, Keely D. Parr, Alfred D Peters
Hearing Site: New York, NY
| | Expungement |
| 20-03904 | 05/30/2023 | Claimant(s): Mona Petrocine
Claimant Lawyers(s): Martin Asatrian
Respondent(s): David Turetzky, Ameriprise Financial Services., Marlene Yacenda
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Paul J. Camilleri, Annamaria Boccia Smith, William A. Rome
Hearing Site: New York, NY
| | $0 |
| 22-02376 | 05/24/2023 | Claimant(s): Rajiv Sharma
Claimant Lawyers(s): Rajiv Narendrakumar Sharma
Respondent(s): Melissa Campbell
Respondent Lawyers(s): Melissa Leigh Campbell
Arbitrator(s): Susan C Lushing, April D. Bowie, Michael J. Perinelli
Hearing Site: New York, NY
| | $0 |
| 22-02708 | 05/10/2023 | Claimant(s): Diane Civetta
Claimant Lawyers(s): Diane Civetta
Respondent(s): J.P. Morgan Securities, Mark Minkler
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Peter E. Gillespie
Hearing Site: New York, NY
| | $240 |
