23-03396 | 10/30/2024 | Claimant(s): Daniel Michalow Claimant Lawyers(s): Thomas A. Clare Respondent(s): D.E. Shaw & Co., L.P. Respondent Lawyers(s): Terri L. Chase Arbitrator(s): Marcia L. Adelson, Linda J. Baer, Nancy Marie Thevenin Hearing Site: New York, NY
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24-00309 | 08/26/2024 | Claimant(s): Jameson Van Houten Claimant Lawyers(s): Benjamin Biard Respondent(s): Crown Capital Securities, L.P. Respondent Lawyers(s): Jonathan French Arbitrator(s): Monica I. Salis, Gregory D. Hoffmann, John R. Wylie Hearing Site: Phoenix, AZ
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23-02111 | 07/19/2024 | Claimant(s): Robert Stefanelli Claimant Lawyers(s): Scott Holcomb Respondent(s): Alexander Capital, L.P. Respondent Lawyers(s): Michele Misiti Arbitrator(s): Alice E. Winkler, Paul Allan Massaro, Antonio Di Palma Hearing Site: Jersey City, NJ
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22-02539 | 06/17/2024 | Claimant(s): Simon Andriesz Claimant Lawyers(s): Neal Brickman Respondent(s): Jean Aubin, Mark Webster, Cantor Fitzgerald & Co., Paul Pion, William Shields, BGC Financial, L.P. Respondent Lawyers(s): Nirav S. Shah Arbitrator(s): Robert J. Kheel, Geoffrey M. Elkind, Dakota Shawn Harbison Hearing Site: New York, NY
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23-03050 | 05/06/2024 | Claimant(s): Gary Glockzin Claimant Lawyers(s): Zachary S. Knoblock Respondent(s): Crown Capital Securities, L.P. Respondent Lawyers(s): Jonathan L. French Arbitrator(s): Charles G. Michaels, Mary Margaret Bush, Howard N. Gorney Hearing Site: San Diego, CA
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23-03051 | 04/19/2024 | Claimant(s): Sanford C. Bernstein & Co., AllianceBernstein, L.P. Claimant Lawyers(s): Christopher C. Coss Respondent(s): Charles Lynch, Elijah Dornstreich, UBS Financial Services Inc., Ryan DePaul Respondent Lawyers(s): Gary J. Lieberman, James L. Komie Arbitrator(s): Richard Lewis Zack, Colin Bell, Hope A. Comisky Hearing Site: Philadelphia, PA
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23-02358 | 04/08/2024 | Claimant(s): Jonathan French Claimant Lawyers(s): Zack Knoblock Respondent(s): Crown Capital Securities, L.P. Respondent Lawyers(s): Darol K. Paulsen Arbitrator(s): Constance Ellen Boukidis, Kirtley M. Thiesmeyer, Terry Lynn Chambless Hearing Site: Los Angeles, CA
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22-01882 | 02/27/2024 | Claimant(s): Esther Kim, Ambrosia Networks LLC Claimant Lawyers(s): Adam Gana Respondent(s): Crown Capital Securities, L.P. Respondent Lawyers(s): Craig R. Bockman Arbitrator(s): Barbara M. Zak, Robert B. Hansohn, Natalie Panossian-Bassler Hearing Site: Los Angeles, CA
| | Expungement |
23-01445 | 02/15/2024 | Claimant(s): Jonathan Satovsky Claimant Lawyers(s): Harris Freedman Respondent(s): Ameriprise Financial Services, USF Securities, L.P. Respondent Lawyers(s): CT Corporation System, Howard Klausmeier Arbitrator(s): Howard L. Sobel Hearing Site: New York, NY
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22-00075 | 08/22/2023 | Claimant(s): Allen Chick Claimant Lawyers(s): David Vermont Respondent(s): John Slipek, Joseph Amato, Nick Filippo, Alexander Capital, L.P. Respondent Lawyers(s): Scott Holcomb Arbitrator(s): Peter Khalil Hearing Site: Portland, OR
| | Expungement |