| 20-03698 | 08/06/2021 | Claimant(s): Tobias Lenza
Claimant Lawyers(s): Anthony A. Lenza
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): David S. Richan
Arbitrator(s): Mary Julia O'Connell, Hashim Ghadiali, John Warner Lowe
Hearing Site: New York, NY
|  | $0 |
| 20-01468 | 05/28/2021 | Claimant(s): Raymond George
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Mary Julia O'Connell
Hearing Site: New York, NY
| | |
| 19-01411 | 03/01/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Vince Glenn
Respondent Lawyers(s): Kevin T. Duffy
Arbitrator(s): John Carl Cirincion, Mary Julia O'Connell, Albert Rizzo
Hearing Site: New York, NY
| | |
| 15-02972 | 06/17/2019 | Claimant(s): Kyrill Firshein
Claimant Lawyers(s): John D. Singer
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Leni D. Battaglia
Arbitrator(s): Dan Brecher, Mary Julia O'Connell, Candi Marie Halbert
Hearing Site: New York, NY
| | |
| 13-03605 | 07/07/2017 | Claimant(s): Gregory Cohen
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Baris Dincer, Daniel Mendoza, Francine Lanaia, Joseph Amato, RBC Capital Markets LLC, Alexander Capital, L.P.
Respondent Lawyers(s): Baris Dincer, Daniel Manuel Mendoza, Francine Ann Lanaia, Frank J. Cuccio, Scott Holcomb
Arbitrator(s): William E. Nuckel, Christine Moore, Mary Julia O'Connell
Hearing Site: New York, NY
| | $0 |
| 10-03265 | 12/06/2016 | Claimant(s): Tullett Prebon Financial Services LLC
Claimant Lawyers(s): Ryan M. Duffy
Respondent(s): Richard Higgs, Stephen Duckworth, Suncica Reljic, Traditional Asiel Securities Inc., Tullett Prebon (Americas) Holding Inc., Tullett Prebon Americas Corp., Tullett Prebon PLC
Respondent Lawyers(s): Kevin J. Smith, Laura R. Petroff, Thomas P. Lane
Arbitrator(s): Jack Friedman, Sam Antar, Mary Julia O'Connell
Hearing Site: New York, NY
| | |
| 15-02115 | 05/17/2016 | Claimant(s): Moussa Sarwa, Touneh Sarwa
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Betty Chen, Stephen M. Schaedtler, Mary Julia O'Connell
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 13-01540 | 09/26/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): David G. Smitham
Respondent(s): Brendon Lyden, Mark Ginsberg
Respondent Lawyers(s): Brendon John Lyden, Loretta M. Gastwirth
Arbitrator(s): Vincent C. Pangia, Thomas Michael Gandolfo, Mary Julia O'Connell
Hearing Site: New York, NY
| | $0 |
