| 19-00829 | 03/19/2024 | Claimant(s): Qi Wang
Claimant Lawyers(s): Qi Wang
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Ernesto V. Luzzatto, Jeanne M. Keefe, Gregory J. Getz
Hearing Site: New York, NY
|  | $0 |
| 23-00237 | 08/18/2023 | Claimant(s): Christopher Ortiz
Claimant Lawyers(s): Seth N. Bursky
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Madelyn A. Levy, Jeanne M. Keefe, Denise Sagua
Hearing Site: New York, NY
| | |
| 21-02569 | 06/13/2023 | Claimant(s): Jennifer Matheson, Michael Matheson
Claimant Lawyers(s): Michael J. Giarrusso
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Cynthia A. DiMarco, Jeanne M. Keefe, Noah Jonathan Hanft
Hearing Site: New York, NY
| | Expungement |
| 22-01565 | 05/01/2023 | Claimant(s): Elsayed Elnenaey
Claimant Lawyers(s): Ahmed Elnenaey
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Keely D. Parr, Jeanne M. Keefe, Eric Howard
Hearing Site: New York, NY
| | Dismissed with Rule 12206 |
| 22-01643 | 12/13/2022 | Claimant(s): Gerald Casey
Claimant Lawyers(s): Gerald Joseph Casey
Respondent(s): Academy Securities.
Respondent Lawyers(s): Michael Boyd
Arbitrator(s): Jeanne M. Keefe
Hearing Site: New York, NY
| | |
| 20-00151 | 01/25/2022 | Claimant(s): Joseph Gunnar & Co. LLC
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Brandon Pflaum, Cesar Pozo, Worden Capital Management LLC, Joseph Alagna, Matthew Gates, Miguel Cabarcas
Respondent Lawyers(s): John E. Lawlor, Richard Roth
Arbitrator(s): Ilene Barbara Zatkin-Butler, Paul C. Kurland, Jeanne M. Keefe
Hearing Site: New York, NY
| | |
| 13-02081 | 08/13/2014 | Claimant(s): Thomas Berry
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Irwin Kahn, Gayle S. Sanders, Jeanne M. Keefe
Hearing Site: New York, NY
| | Expungement |
