| 23-02172 | 08/19/2024 | Claimant(s): Neil Engel
Claimant Lawyers(s): Lars Soreide
Respondent(s): Citigroup Global Markets., Thomas Tibaldi
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Mary Julia O'Connell
Hearing Site: New York, NY
|  | Expungement |
| 23-03032 | 05/03/2024 | Claimant(s): Sonia Attkiss
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Mary Julia O'Connell
Hearing Site: New York, NY
| | |
| 23-01145 | 03/28/2024 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Abraham Bichler
Respondent Lawyers(s): Abraham Yitzchak Bichler
Arbitrator(s): Eva H. Posman, Mary Julia O'Connell, Joanne Sari Feld
Hearing Site: New York, NY
| | $0 |
| 22-02707 | 06/16/2023 | Claimant(s): Diane Civetta
Claimant Lawyers(s): Diane Civetta
Respondent(s): Anthony Hollenbeck, E*Trade Securities LLC, Michael Evans
Respondent Lawyers(s): John Bersin
Arbitrator(s): Mary Julia O'Connell
Hearing Site: New York, NY
| | $300 |
| 22-02016 | 05/08/2023 | Claimant(s): Joseph Fallarino
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Joseph Stone Capital L.L.C., Worden Capital Management LLC
Respondent Lawyers(s): Damian Maggio, Jamie J. Worden
Arbitrator(s): Thomas M. Amadio, Mary Julia O'Connell, Eric Goldman
Hearing Site: New York, NY
| | |
| 19-02173 | 11/14/2022 | Claimant(s): Daniel Wallace
Claimant Lawyers(s): Alan Rosca
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael M. Rosensaft
Arbitrator(s): Mary Julia O'Connell, David John Reilly, Eric Goldman
Hearing Site: New York, NY
| | $0 |
| 22-00101 | 09/06/2022 | Claimant(s): Joseph Duarte
Claimant Lawyers(s): Robert J. Moses
Respondent(s): First Republic Securities Company
Respondent Lawyers(s): Debra Achkire
Arbitrator(s): Mary Julia O'Connell
Hearing Site: New York, NY
| | |
| 21-02156 | 02/07/2022 | Claimant(s): Michele Misiti
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Alexander Capital, L.P.
Respondent Lawyers(s): Rocco Guidicipietro
Arbitrator(s): Madelon M. Rosenfeld, Mary Julia O'Connell, Adam M. Kauff
Hearing Site: New York, NY
| | |
| 21-00426 | 10/18/2021 | Claimant(s): Trident Partners Ltd.
Claimant Lawyers(s): Eric J. Sussman
Respondent(s): Timothy Flynn
Respondent Lawyers(s): Timothy Michael Flynn
Arbitrator(s): Mary Julia O'Connell
Hearing Site: New York, NY
| | |
| 21-00893 | 10/07/2021 | Claimant(s): Brian Matthews
Claimant Lawyers(s): Brian A. Matthews
Respondent(s): Morgan Stanley, Timothy Golier
Respondent Lawyers(s): Irisa Chen
Arbitrator(s): Mary Julia O'Connell
Hearing Site: New York, NY
| | $300 |
