| 18-02742 | 09/20/2018 | Claimant(s): Judy J. Smith, IRA, Michael D. Smith, Michael D. Smith and Judy J. Smith JTWRO
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Newport Coast Securities.
Respondent Lawyers(s): Dan Druz
Arbitrator(s): Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
|  | $816,000 |
| 14-03861 | 07/27/2016 | Claimant(s): Dorothy McNiff, Grant McNiff, Dorothy McNiff IRA, Grant McNiff IRA, Grant & Dorothy McNiff Trust 5/24/2004
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Jarrod Serrato, Newport Coast Securities.
Respondent Lawyers(s): Dan Druz, Jarrod Thomas Serrato
Arbitrator(s): Richard A. Stephens, Peter J Cohen, Leslie Marie Hopp
Hearing Site: Los Angeles, CA
| | $101,016 |
| 14-03648 | 05/13/2016 | Claimant(s): James Kenerson
Claimant Lawyers(s): Dan Druz
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Evalyn Lipton Fishbein, Peter Andrew Marx, Jory E Berkwits
Hearing Site: Boston, MA
| | |
| 11-02334 | 06/09/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Brian McCafferty
Respondent Lawyers(s): Dan Druz
Arbitrator(s): Alan Shaw, Edith M. Novack, David Morris Weiss
Hearing Site: Newark, NJ
| | |
| 13-03293 | 05/29/2015 | Claimant(s): Mildred Rothschild, Victor Bonchek, Mildred Rothschild 2007 Trust
Claimant Lawyers(s): Peter M. Spett
Respondent(s): Aaron Heimowitz, Joseph Mangiapane, Kathleen McPherson, Newport Coast Securities.
Respondent Lawyers(s): Aaron Leonard Heimowitz, Dan Druz, Daniel Scott Furst
Arbitrator(s): Lincoln W. Craighead, James S. Hazard, Leonard P. Novello
Hearing Site: New York, NY
| | $403,162 |
| 13-00440 | 12/18/2014 | Claimant(s): John Thomas Financial
Claimant Lawyers(s): Dan Druz
Respondent(s): Anthony Maiuolo, Darren Himmelstein, Keith Williams, Renos Gordos, Rodney Laveau
Respondent Lawyers(s): Adam D. Cole
Arbitrator(s): Nancy Kramer, Robert E. Riccobono, Mildred Cruz-Dorta
Hearing Site: New York, NY
| | |
| 13-01361 | 11/04/2014 | Claimant(s): Joanne Mc Evoy
Claimant Lawyers(s): W. Alexander Melbardis
Respondent(s): Anastasios Belesis, Anthony Giuliano III, John Thomas Financial
Respondent Lawyers(s): Anthony Frank Giuliano III, Dan Druz
Arbitrator(s): Gregory J. Getz
Hearing Site: New York, NY
| | $24,423 |
| 13-03029 | 06/20/2014 | Claimant(s): Christopher Raine
Claimant Lawyers(s): Christopher Howard Raine
Respondent(s): Brian Falabella, Donald Wojnowski
Respondent Lawyers(s): Dan Druz, Neil S. Baritz
Arbitrator(s): Paul Weinberg
Hearing Site: New York, NY
| | $4,523 |
| 13-01112 | 03/20/2014 | Claimant(s): Arthur Meadows, Virginia Meadows
Claimant Lawyers(s): Brian J. Neville
Respondent(s): Anastasios Belesis, George Belesis, John Thomas Financial
Respondent Lawyers(s): Dan Druz
Arbitrator(s): Irene C. Warshauer
Hearing Site: New York, NY
| | $16,600 |
| 99-00155 | 02/23/2009 | Claimant(s): Dan Druz
Claimant Lawyers(s): Dan A. Druz
Respondent(s): Morgan Stanley DW Inc., Richard Hayes
Respondent Lawyers(s): Richard Szuch
Arbitrator(s): Joan M. Traub, Simone A. Muscarnera, Nathalie Potter Maio
Hearing Site: Newark, NJ
| | |
