| 21-00369 | 12/28/2021 | Claimant(s): Fibonacci Capital
Claimant Lawyers(s): Frank T.M. Catalina
Respondent(s): Andrew Lewis, Sanctuary Securities.
Respondent Lawyers(s): Christopher S. Stake
Arbitrator(s): Larry A. Kimmel, Judith C. Zerden, Julian F. Santos
Hearing Site: New York, NY
|  | $40,789 |
| 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 |
| 20-03175 | 06/28/2021 | Claimant(s): Michael Nessim
Claimant Lawyers(s): Ross Kartez
Respondent(s): Josephthal & Co..
Respondent Lawyers(s): Nicola A. Murphy
Arbitrator(s): Julian F. Santos
Hearing Site: Jersey City, NJ
| | |
| 19-02691 | 06/03/2021 | Claimant(s): Jadina Lilien
Claimant Lawyers(s): Elizabeth Goldman
Respondent(s): Morgan Stanley, Nancy Glassman
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Julian F. Santos
Hearing Site: New York, NY
| | Expungement |
| 20-02922 | 05/21/2021 | Claimant(s): Edward Hynes
Claimant Lawyers(s): Richard S. Meisner
Respondent(s): The Jeffrey Matthews Financial Group LLC
Respondent Lawyers(s): Stephen Cucchia
Arbitrator(s): Julian F. Santos
Hearing Site: Jersey City, NJ
| | |
| 19-02005 | 03/15/2021 | Claimant(s): Megan Hait
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Shelley Teitelbaum, Julian F. Santos, Edward W. Morris
Hearing Site: New York, NY
| | Expungement |
| 20-00600 | 10/20/2020 | Claimant(s): Mridula Anbarasan
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Julian F. Santos, Catherine Stewart, James F. Rohrman
Hearing Site: Newark, NJ
| | Dismissed by Rule 12206/12504 |
| 13-03704 | 03/10/2020 | Claimant(s): Elana Deutsch, Elie Deutsch, Alan Deutsch A/C/F for Ayelethashacha, Alan Deutsch A/C/F for Natanel Deutsch, Alan Deutsch A/C/F for Zecharia Deutsch, Sonja G. Deutsch Irrevocable Trust
Claimant Lawyers(s): Kevin J. Deloatch
Respondent(s): James Ducey, Stuart Alter, Morgan Stanley Smith Barney LLC
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Julian F. Santos, Joan M. Traub, Daniel F. Morrissey
Hearing Site: New York, NY
| | Dismissed |
| 19-00964 | 11/19/2019 | Claimant(s): Lee Tockman
Claimant Lawyers(s): Gordana Schifanelli
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jennifer G. Chawla
Arbitrator(s): Julian F. Santos, Sandralin J. Kiss, Lisa Diane Love
Hearing Site: Newark, NJ
| | |
| 18-02479 | 11/13/2019 | Claimant(s): Betsy Hoffman
Claimant Lawyers(s): Betsy Hoffman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Julian F. Santos, Edward S. Hill, Christine H Barrington
Hearing Site: Hartford, CT
| | $0 |
