| 16-03750 | 07/11/2018 | Claimant(s): Joseph Schena, Kathleen Schena
Claimant Lawyers(s): James P. Lucking
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Julian F. Santos, Jerome M Shafer, Michael J. Deodati
Hearing Site: New York, NY
|  | Expungement |
| 16-00033 | 01/12/2018 | Claimant(s): Odeon Capital Group LLC
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Evan Schwartzberg, Mathew Van Alstyne, Mihir Patel, Auriga USA
Respondent Lawyers(s): Gary Trachten, Jeffrey Plotkin, Jonathan Sack
Arbitrator(s): Julian F. Santos, John Caracciolo, Paul George Huck
Hearing Site: New York, NY
| | |
| 16-01824 | 07/11/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Robert Perconte
Respondent Lawyers(s): Robert A. Perconte
Arbitrator(s): Julian F. Santos
Hearing Site: New York, NY
| | |
| 16-03219 | 05/30/2017 | Claimant(s): Valery Scancella
Claimant Lawyers(s): Valery Scancella
Respondent(s): Legend Securities.
Respondent Lawyers(s): Frank Fusco
Arbitrator(s): Joel Levinson, Julian F. Santos, Robert Elliot Harrison
Hearing Site: New York, NY
| | |
| 16-00667 | 02/16/2017 | Claimant(s): Tal Malhi
Claimant Lawyers(s): Tal Malhi
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Amanda K. Caldwell
Arbitrator(s): Julian F. Santos
Hearing Site: Newark, NJ
| | |
| 15-03357 | 10/27/2016 | Claimant(s): Mustafa Er
Claimant Lawyers(s): Mustafa M. Er
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey J. Kmoch
Arbitrator(s): Roger J. Hawke, Julian F. Santos, David John Reilly
Hearing Site: New York, NY
| | |
| 15-00875 | 10/21/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Eric Zakarin
Respondent Lawyers(s): James Halter
Arbitrator(s): Julian F. Santos, Stanley M. Lenkowicz, Veronica Ann Williams
Hearing Site: Newark, NJ
| | |
| 14-01495 | 05/03/2016 | Claimant(s): Brian Miller
Claimant Lawyers(s): Jay J. Freireich
Respondent(s): David Briegs, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Julian F. Santos, Simone A. Muscarnera, Marc B Adelman
Hearing Site: Newark, NJ
| | Expungement |
| 15-00535 | 04/19/2016 | Claimant(s): Mary Fisher
Claimant Lawyers(s): James R. Hubbard
Respondent(s): SG Americas Securities
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Julian F. Santos, David Jeremy Mattana, Cirino M. Bruno
Hearing Site: New York, NY
| | |
| 15-01680 | 02/08/2016 | Claimant(s): Mark Hennings
Claimant Lawyers(s): Stephanie Habelow
Respondent(s): Kevin Murphy, Next Financial Group., Visionary Asset Management.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Julian F. Santos
Hearing Site: Wilmington, DE
| | $300 |
