23-03107 | 01/23/2024 | Claimant(s): LPL Financial LLC Claimant Lawyers(s): Saumeu P. Mauch Respondent(s): Leonardo Hernandez Respondent Lawyers(s): Leonardo Hernandez Arbitrator(s): Elizabeth Gilbert Hearing Site: New York, NY
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23-01475 | 12/12/2023 | Claimant(s): D.A. Davidson & Co. Claimant Lawyers(s): Nancy L. Hendrickson Respondent(s): Kevin Arvoy Respondent Lawyers(s): Kevin Michael Arvoy Arbitrator(s): Elizabeth Gilbert, Charles Platto, Douglas Mark Polley Hearing Site: New York, NY
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22-01838 | 11/20/2023 | Claimant(s): Harvey Silver, The Estate of Gladys Silver Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): E*Trade Securities LLC, TD Ameritrade. Respondent Lawyers(s): Frank J. Cuccio, Joseph E. Floren Arbitrator(s): Elizabeth Gilbert, Edward W. Morris, John Franklin Udochi Hearing Site: New York, NY
| | $440 |
19-02158 | 03/08/2023 | Claimant(s): Jefferies LLC Claimant Lawyers(s): Andrew J. Shapren Respondent(s): Patrick McCarthy Respondent Lawyers(s): Pearl Zuchlewski Arbitrator(s): Bernard A. Kesselman, Elizabeth Gilbert, William A. Rome Hearing Site: New York, NY
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21-00485 | 03/07/2023 | Claimant(s): Mryna Greene Claimant Lawyers(s): Imran H. Ansari Respondent(s): Devin Marino, Morgan Stanley, Robert Stolar Respondent Lawyers(s): Jeremy S. Winer Arbitrator(s): Elizabeth Gilbert, Mary P. Bass, Bryan Lane Berson Hearing Site: New York, NY
| | Expungement |
21-00186 | 11/11/2022 | Claimant(s): Gabriel Antuna Claimant Lawyers(s): Gabriel Fischbarg Respondent(s): Andrew Garrett. Respondent Lawyers(s): Barry M. Bordetsky Arbitrator(s): Richard W. Vallario, Elizabeth Gilbert, Joan Ellen Hoffman Hearing Site: New York, NY
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20-02838 | 08/12/2022 | Claimant(s): Peter Thum, Peter Thum ROTH IRA, Peter Thum Traditional IRA, The Peter Thum Rollover IRA Claimant Lawyers(s): Peter Thum Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Lucienne Carasso Bulow, Elizabeth Gilbert, Sandra Holtzman Hearing Site: New York, NY
| | Expungement |
20-03720 | 12/22/2021 | Claimant(s): Francis Mitchell Claimant Lawyers(s): Francis G. Mitchell Respondent(s): Christopher Frattini, Gregory Hatzimichael, Mozart Prudent Respondent Lawyers(s): Michael Utilla Arbitrator(s): Elizabeth Gilbert, David I. Goldblatt, Robert Morris Hearing Site: New York, NY
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21-00199 | 09/02/2021 | Claimant(s): John Lowry Claimant Lawyers(s): Robert I. Rabinowitz Respondent(s): Spartan Capital Securities Respondent Lawyers(s): Kim Monchik Arbitrator(s): Elizabeth Gilbert, Christine Meiers Schatz, Marc Adam Sherman Hearing Site: New York, NY
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20-00007 | 03/05/2021 | Claimant(s): Ruth Hallett Claimant Lawyers(s): Ruth Hallett Respondent(s): Martin Moy, Citigroup Global Markets. Respondent Lawyers(s): Adam Kauff Arbitrator(s): Elizabeth Gilbert Hearing Site: New York, NY
| | $0 |