| 20-03069 | 02/02/2023 | Claimant(s): Patrick Esparrago
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Rory M. McLaughlin
Hearing Site: New York, NY
| | |
| 21-02981 | 11/10/2022 | Claimant(s): NewBridge Securities Corp.
Claimant Lawyers(s): George F. Meierhofer
Respondent(s): Kevin Doyle
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Rory M. McLaughlin
Hearing Site: New York, NY
| | |
| 20-02532 | 04/22/2022 | Claimant(s): Jonathan Reich
Claimant Lawyers(s): Jonathan Reich
Respondent(s): Robinhood Financial, Robinhood Securities
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Rory M. McLaughlin
Hearing Site: New York, NY
|  | Dismissed by Rule 12212 |
| 21-02577 | 03/16/2022 | Claimant(s): John Eversgerd, Viktor Prozapas, Ettinger Family Trust
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Lawrence Fawcett, Shawn Burns
Respondent Lawyers(s): Lawrence John Fawcett, Shawn Evan Burns
Arbitrator(s): Rory M. McLaughlin
Hearing Site: New York, NY
| | $732,617 |
| 21-02719 | 03/08/2022 | Claimant(s): AGS Underground
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Michael Oromaner
Respondent Lawyers(s): Michael Lawrence Oromaner
Arbitrator(s): Rory M. McLaughlin
Hearing Site: New York, NY
| | $167,394 |
| 19-01077 | 02/25/2022 | Claimant(s): Erik Napp
Claimant Lawyers(s): Brian Kennedy
Respondent(s): BGC Financial, L.P.
Respondent Lawyers(s): Nirav S. Shah
Arbitrator(s): Rory M. McLaughlin, Lorraine Marie Brennan, Steven Bauer Malkenson
Hearing Site: New York, NY
| | |
| 18-01055 | 12/28/2021 | Claimant(s): Bennie Carmain, Gary Bridgers, John Daniels, John Eversgerd, Lawrence Clarke, Richard Myers, Russell Cascardo, Viktor Prozapas, AGS Underground, Tayskasi Oy, Ettinger Family Trust
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Kevin Harms, Yousuf Saljooki
Respondent Lawyers(s): Kevin Charles Harms, Yousuf Saljooki
Arbitrator(s): Joseph J. Arata, Rory M. McLaughlin, Jerome M Shafer
Hearing Site: New York, NY
| | $792,117 |
| 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 |
| 20-02174 | 04/23/2021 | Claimant(s): Oscar Seidel
Claimant Lawyers(s): Oscar Francisco Seidel
Respondent(s): Grace Financial Group LLC
Respondent Lawyers(s): Brian Villante
Arbitrator(s): Rory M. McLaughlin, Paul C. Tang, Dalia Zaza
Hearing Site: New York, NY
| | |
| 17-01369 | 07/18/2019 | Claimant(s): Ajay Ahuja, Nicholas Ahuja, Dr. Ajay Ahuja Deutsche Bank IRA Account
Claimant Lawyers(s): David E.. Robbins
Respondent(s): Deutsche Bank Securities., David Fleming, Stifel, Nicolaus & Co.., Sterne, Agee & Leach.
Respondent Lawyers(s): David Wilson Fleming, Richard H. Kuhlman, Toby S. Soli
Arbitrator(s): Rory M. McLaughlin, Steven C. Kasarda, Suzanne L. Ulicny
Hearing Site: New York, NY
| | $793,605 |
