23-00211 | 05/01/2024 | Claimant(s): Christina Ludvigsen, Christina Ludvigsen IRA (1107), Christina Ludvigsen IRA (3283) Claimant Lawyers(s): Kevin P. Conway Respondent(s): Frank Wu, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services Respondent Lawyers(s): Jason Kempf Arbitrator(s): Allan N. Taffet, Edmund Siejka, John Franklin Udochi Hearing Site: New York, NY
| | $7,440 |
22-02756 | 08/14/2023 | Claimant(s): Alan Fong Claimant Lawyers(s): Kevin P. Conway Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Helen Marinak Blohm Hearing Site: San Francisco, CA
| | $0 |
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 |
21-02415 | 04/20/2022 | Claimant(s): Stephen Giannantonio Claimant Lawyers(s): Kevin P. Conway Respondent(s): Aegis Capital Corp., Laidlaw & Company (UK) Ltd. Respondent Lawyers(s): Charles Smulevitz, Kevin Meade Arbitrator(s): Clive I. Morrick Hearing Site: New York, NY
| | |
21-00134 | 01/03/2022 | Claimant(s): Adoracion Estanislao Claimant Lawyers(s): Kevin P. Conway Respondent(s): Fidelity Brokerage Services LLC, Steven Boschert Respondent Lawyers(s): Joseph L. Calabrese Arbitrator(s): Martin Mushkin, Charles F. Titterton, Howard Alan Grinsberg Hearing Site: New York, NY
| | $0 |
20-03487 | 09/13/2021 | Claimant(s): Judy Block, Frances Norman Block Trust Claimant Lawyers(s): Kevin P. Conway Respondent(s): Morgan Stanley, Robert Ruffo Respondent Lawyers(s): Abigail Elrod Arbitrator(s): Paul C. Kurland, Laura Carraher, Rory M. McLaughlin Hearing Site: New York, NY
| | Expungement |
19-02754 | 06/18/2020 | Claimant(s): Richard Bollard Claimant Lawyers(s): Kevin P. Conway Respondent(s): Michael Blumer, First Standard Financial Company LLC Respondent Lawyers(s): Craig A. Riha Arbitrator(s): John J. Fitzpatrick Hearing Site: Anchorage, AK
| | $120 |
18-02864 | 07/18/2019 | Claimant(s): Michael Merida Claimant Lawyers(s): Kevin P. Conway Respondent(s): Matthew Eckstein Respondent Lawyers(s): Matthew Evan Eckstein Arbitrator(s): Ted M. Rosen, Anthony Michael Sabino, Martin A. Edelstein Hearing Site: New York, NY
| | $200,000 |
17-01643 | 03/28/2018 | Claimant(s): Nadia Kilada Claimant Lawyers(s): Kevin P. Conway Respondent(s): Morgan Stanley, Eric Hernandez Respondent Lawyers(s): Jeremy S. Winer Arbitrator(s): Morton S. Bunis, Anna Lascar, Brooks White Hearing Site: New York, NY
| | $0 |
16-01492 | 07/14/2017 | Claimant(s): Barbara Blethen, Christopher Wallace, Gerard Gawel, Marie Wallace Claimant Lawyers(s): Kevin P. Conway Respondent(s): Philip Fatta, Blackbook Capital, Legend Securities. Respondent Lawyers(s): Franklin Ogele, Philip Orezio Fatta, Salvatore Caruso Arbitrator(s): Daniel Robbins, Dolores D. Balsamo, Harrison Johnson Hearing Site: New York, NY
| | $584,796 |