| 18-01282 | 01/10/2020 | Claimant(s): Kristin Anderson
Claimant Lawyers(s): Morgan D. Schut
Respondent(s): Edward Jones
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Chicago, IL
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| 18-03461 | 11/04/2019 | Claimant(s): Jeffrey Rathmanner
Claimant Lawyers(s): Brooke D. Anthony
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Thomas J. Gmeinder, Michael Herring, Lindsay Keller
Hearing Site: Minneapolis, MN
| | |
| 17-01993 | 03/19/2019 | Claimant(s): Adam Kaplan, Daniel Kaplan
Claimant Lawyers(s): John D. Singer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Susan C. Lushing, Joseph I. Liebman, Lynnette Rich
Hearing Site: New York, NY
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| 17-02655 | 12/10/2018 | Claimant(s): Douglas Modico
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Auerbach Grayson & Company LLC
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Ann C. Northern, Doris Lindbergh, Stephen A. Weiner
Hearing Site: New York, NY
| | |
| 17-01037 | 08/16/2018 | Claimant(s): Bruce Plyer
Claimant Lawyers(s): Joshua K Bromberg
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Fred S. Pieroni, Marvin Schleyer, Paul Allan Massaro
Hearing Site: Newark, NJ
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| 16-01001 | 02/28/2018 | Claimant(s): Christian Gherardi
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): Citigroup Global Markets., Michael Averett
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Louis David Huss, Robert J. Bender, Jack Martin Coe
Hearing Site: Miami, FL
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| 16-03731 | 02/23/2018 | Claimant(s): Benjamin Morganstein
Claimant Lawyers(s): Jonathan Sack
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Jeffrey G. Sommers, William E. Nuckel, Lawrence B. Schiffman
Hearing Site: New York, NY
| | |
| 17-00145 | 02/08/2018 | Claimant(s): Carol Silverman
Claimant Lawyers(s): Joseph E. Gasperetti
Respondent(s): Nina Schurz, Raymond, James & Associates.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Pamela H. Roderick, Sandra J. Mullings, Sheryl E. Elias
Hearing Site: New York, NY
| | |
| 16-01553 | 07/03/2017 | Claimant(s): Matthew Gittins
Claimant Lawyers(s): Jack A. Gordon
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Pamela H. Roderick, Sandra J. Mullings, Amy Y. Moy
Hearing Site: New York, NY
| | |
| 13-02333 | 06/28/2016 | Claimant(s): Cheney Ranch, Singing Sage, Andrew Den Hoed, Sr. and Marie Den Hoed
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Joseph Gazes, Merrill Lynch Pierce Fenner & Smith Inc., Phil Scott
Respondent Lawyers(s): Ira G. Rosenstein, Timothy P. Burke
Arbitrator(s): Stephany Adriene Watson, Linda I. Thomas, Joseph Lincoln Carman
Hearing Site: Seattle, WA
|  | Expungement |
