| 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
| | |
| 21-01630 | 01/11/2022 | Claimant(s): David Spratt
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Alexander Capital, L.P.
Respondent Lawyers(s): Rocco Guidicipierto
Arbitrator(s): Dora M. Lassinger, Gerald M. Levine, Judith C. Aarons
Hearing Site: New York, NY
| | |
| 20-03279 | 12/31/2021 | Claimant(s): Jamie Taylor
Claimant Lawyers(s): D. Daxton White
Respondent(s): Concorde Investment Services
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Michele Renee Zinn, Michael James Whinihan, Suzanne L. Ulicny
Hearing Site: Detroit, MI
|  | Expungement |
| 21-00999 | 12/21/2021 | Claimant(s): Rocco Guidicipietro
Claimant Lawyers(s): Scott Holcomb
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): David F. Feldstein
Arbitrator(s): Martin Jay Siegel, Joan M. Traub, Paul Allan Massaro
Hearing Site: Jersey City, NJ
| | |
| 21-01123 | 10/08/2021 | Claimant(s): Michele Misiti
Claimant Lawyers(s): Scott Holcomb
Respondent(s): John Thomas Financial
Respondent Lawyers(s): Maria Cummings
Arbitrator(s): Ann C. Northern, William E. Nuckel, Allan N. Taffet
Hearing Site: New York, NY
| | |
| 20-01415 | 04/20/2021 | Claimant(s): Russell Shurts
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Triad Advisors LLC, Joseph Michaletz
Respondent Lawyers(s): James A. McGovern, Scott Holcomb
Arbitrator(s): Charles G. Michaels, Marilyn R. Lewis, Eric Moutz
Hearing Site: Denver, CO
| | Expungement |
| 18-03984 | 12/04/2020 | Claimant(s): Larry Schmalz, Robin Schmalz
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): David Spratt, Joseph Amato, Kujtim Lulani, Michael Castillero, Rocco Guidicipietro, Thomas Sullivan, Alexander Capital, L.P.
Respondent Lawyers(s): Lawrence R. Gelber, Scott Holcomb
Arbitrator(s): Royce Russell, Gerald M. Levine, Peter E. Gillespie
Hearing Site: New York, NY
| | Settlement |
| 20-00026 | 11/24/2020 | Claimant(s): Joseph Biondolillo
Claimant Lawyers(s): Scott Holcomb
Respondent(s): J.P. Turner & Company, L.L.C., vFinance Investments
Respondent Lawyers(s): David Feldstein, Emily A. Hayes
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 19-03231 | 11/19/2020 | Claimant(s): Alfred Stratford
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Davenport & Company LLC
Respondent Lawyers(s): Kathleen Holman
Arbitrator(s): Richard James Igou
Hearing Site: Richmond, VA
| | |
| 19-03546 | 10/21/2020 | Claimant(s): John Slipek
Claimant Lawyers(s): Scott Holcomb
Respondent(s): NewBridge Securities Corp., Investors Capital Corp., J.P. Turner & Company
Respondent Lawyers(s): David Feldstein, Gregg Breitbart
Arbitrator(s): Sam Antar
Hearing Site: Newark, NJ
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