| 17-01718 | 06/16/2021 | Claimant(s): Kayvan Karoon, KS Capital Management
Claimant Lawyers(s): Philip L. Guarino
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Leslie Ruth Nydick, James M. Rhodes, Antonio Di Palma
Hearing Site: Jersey City, NJ
| | |
| 13-00183 | 08/03/2016 | Claimant(s): Marshall Weingarden
Claimant Lawyers(s): Philip L. Guarino
Respondent(s): Seongtaek Hahn, PNC Investments LLC
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Linda T. Pellegrino
Hearing Site: Newark, NJ
|  | $0 |
| 12-00220 | 01/08/2016 | Claimant(s): Eugene Romaska, Pearl Romaska, The SEP IRA FBO Eugene J. Romaska, Eugene J. Romaska, Controlling Joint Ten
Claimant Lawyers(s): W. Alexander Melbardis
Respondent(s): Hemant Singh, Financial Network Investment Corporation
Respondent Lawyers(s): Matthew Tracy, Philip L. Guarino
Arbitrator(s): Peter A. Goldman, Oliver Wayne Williams, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | Expungement |
| 10-01812 | 12/14/2012 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): John K. Wells
Respondent(s): Hemant Singh
Respondent Lawyers(s): Philip L. Guarino
Arbitrator(s): Henry Tiffany, Sandra Gale Behrle, Alfred H. Kingon
Hearing Site: New York, NY
| | |
| 08-04707 | 11/22/2010 | Claimant(s): Kayvan Karoon, Karoon Capital Markets. (dba)
Claimant Lawyers(s): Philip L. Guarino
Respondent(s): Albert Johnson, Jack Handy, John Simmers, Financial Network Investment Corporation, ING Advisors Network
Respondent Lawyers(s): David S. Goldstein, Donald H. Chase, Evan Lupion
Arbitrator(s): Philip W. Burge, Tina L. Mitchell, David Nielsen
Hearing Site: Los Angeles, CA
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