| 18-04305 | 07/27/2021 | Claimant(s): Acacia Noguera, Emporio Blue LTD
Claimant Lawyers(s): Acacia Noguera
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Sameer Rastogi
Arbitrator(s): Christopher J. Klein, Richard Carl Smukler, Michael Greene
Hearing Site: Miami, FL
|  | $0 |
| 21-00370 | 07/27/2021 | Claimant(s): Misbah Eldereiny
Claimant Lawyers(s): Tarek Saleh
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Kirtley M. Thiesmeyer, Shawn Michael Spaulding, William (Lee) Biddle
Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
| 19-01094 | 07/26/2021 | Claimant(s): Alfred Papetti, Stephen Papetti
Claimant Lawyers(s): Max Folkenflik
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Fred S. Pieroni, Julian F. Santos, Andrea Horowitz
Hearing Site: Jersey City, NJ
| | Expungement |
| 20-01499 | 07/22/2021 | Claimant(s): Jennea Augsbury, Rick Augsbury
Claimant Lawyers(s): Barrett T. Robin
Respondent(s): Gregory Rachele
Respondent Lawyers(s): Gregory W. Rachele
Arbitrator(s): Robert L. Yeager, Joseph A. Vicario, Albert Joseph Roberts
Hearing Site: Dallas, TX
| | $807,668 |
| 21-00029 | 07/22/2021 | Claimant(s): Elizabeth Fox
Claimant Lawyers(s): John H. Griffing
Respondent(s): Money Concepts Capital Corp.
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | Dismissed by Rule 12206 |
| 19-03552 | 07/21/2021 | Claimant(s): Angela Evans
Claimant Lawyers(s): Angela P. Evans
Respondent(s): David Miller, Henry Klausman, Shelley Eddy, Peachcap Securities.
Respondent Lawyers(s): Gregg J. Breitbart, Henry Martin Klausman
Arbitrator(s): Langfred W. White
Hearing Site: Jacksonville, FL
| | Expungement |
| 20-00395 | 07/21/2021 | Claimant(s): Dmitry Kreslavskiy, Yevgeniya Kreslavskaya, Dmitry Kreslavskiy IRA, Yevgeniya Kreslavskaya IRA
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Concorde Investment Services
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Robert R. Salman, Robert E. Anderson, Patrick R. Westerkamp
Hearing Site: Jersey City, NJ
| | Expungement |
| 20-02243 | 07/21/2021 | Claimant(s): Doris Chien, John Chien
Claimant Lawyers(s): John Y. Chien
Respondent(s): J.P. Morgan Securities, Jason Jensen, Tim Lippincott
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Joseph C. Watson, Daniel David Kopman, Howard Clark Posner
Hearing Site: Los Angeles, CA
| | $0 |
| 20-01547 | 07/20/2021 | Claimant(s): Ameriprise Financial Services, American Enterprise Investment Services
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Mariam Silverman, M Silverman Living Trust dated 12/5/18
Respondent Lawyers(s): Jeffrey Kaplan
Arbitrator(s): David P. Slater, Richard J. Kaplan, Alessandra Piras Torrens
Hearing Site: Boca Raton, FL
| | $0 |
| 19-03728 | 07/19/2021 | Claimant(s): Ashraf Banoub Trust DTD 3/16/16
Claimant Lawyers(s): Courtney Werning
Respondent(s): McDonald Partners LLC
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Robert J. Scafuri, Richard S. Hines, David Arnold
Hearing Site: Cleveland, OH
| | Expungement |
