| 23-01077 | 11/10/2023 | Claimant(s): Joon Rhee
Claimant Lawyers(s): Robert M. Bursky
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Joan Maxine Secofsky, Jill Pilgrim, Jill I. Gross
Hearing Site: New York, NY
| | |
| 23-00221 | 09/28/2023 | Claimant(s): Eric Rapczyk
Claimant Lawyers(s): Craig Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Joan Maxine Secofsky, Brian Ken Kawakami, Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
| | |
| 21-01815 | 06/13/2023 | Claimant(s): Estate of Charles Michael Sydlaske
Claimant Lawyers(s): David R. Lurie
Respondent(s): Russell Ray
Respondent Lawyers(s): Neal Brickman
Arbitrator(s): Joan Maxine Secofsky, Emily Diamond, Vivian Rivera Drohan
Hearing Site: New York, NY
| | |
| 20-01209 | 06/07/2023 | Claimant(s): Len Ventura
Claimant Lawyers(s): Lance C. McCardle
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Joan Maxine Secofsky, Keely D. Parr, Alfred D Peters
Hearing Site: New York, NY
|  | Expungement |
| 20-03390 | 12/30/2022 | Claimant(s): Thea DePaola
Claimant Lawyers(s): Robert Giacovas
Respondent(s): Peter DePaola, De Paola Trading.
Respondent Lawyers(s): Richard L. Herzfeld
Arbitrator(s): Joan Maxine Secofsky, Joseph J. Arata, Jay F. Frascella
Hearing Site: New York, NY
| | |
| 21-02545 | 07/11/2022 | Claimant(s): Edward Hadel
Claimant Lawyers(s): Jessica E. Levine
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Joan Maxine Secofsky
Hearing Site: New York, NY
| | |
| 19-01625 | 02/25/2022 | Claimant(s): William P. Cella and Elaine F. Cella
Claimant Lawyers(s): Charles J. Hecht
Respondent(s): First Republic Investment Management Inc, First Republic Securities Company
Respondent Lawyers(s): Nicole Ryan
Arbitrator(s): Joan Maxine Secofsky, Judith C. Zerden, Madelon M. Rosenfeld
Hearing Site: New York, NY
| | $0 |
| 19-01058 | 02/25/2021 | Claimant(s): Randee Paston
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Emily L. Milligan
Arbitrator(s): Joan Maxine Secofsky, Roberta Wolf, Paula Ellen Berg
Hearing Site: New York, NY
| | |
| 20-02227 | 01/13/2021 | Claimant(s): Joseph Dimauro
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Annette K. Ebright
Arbitrator(s): Joan Maxine Secofsky
Hearing Site: New York, NY
| | |
| 19-01648 | 03/16/2020 | Claimant(s): Julia Davis
Claimant Lawyers(s): Julia M. Davis
Respondent(s): Michael Boyd, TIAA-Cref Individual & Institutional Ser
Respondent Lawyers(s): Andrea Dreyer
Arbitrator(s): Joan Maxine Secofsky
Hearing Site: New York, NY
| | $0 |
