| 21-01050 | 05/05/2022 | Claimant(s): Mahesh Agarwal
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Flow Traders U.S. LLC
Respondent Lawyers(s): Mallory A. Campbell
Arbitrator(s): Veronica Ann Williams, Mauricio Videla, Emmett Francis Ryan
Hearing Site: New York, NY
| | |
| 21-02257 | 05/04/2022 | Claimant(s): Joseph Amato
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Alexander Capital, L.P.
Respondent Lawyers(s): Rocco Guidicipierto
Arbitrator(s): Stephen J. Patti, Harrison Johnson, Veronica Ann Williams
Hearing Site: New York, NY
| | |
| 20-03583 | 03/07/2022 | Claimant(s): Kevin O'Sullivan
Claimant Lawyers(s): Matt E. Wolper
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Veronica Ann Williams, Steven C. Kasarda, Sofia Balile
Hearing Site: New York, NY
|  | Expungement |
| 21-00663 | 01/28/2022 | Claimant(s): Hedvig Mayer
Claimant Lawyers(s): Sam A. Silverstein
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Veronica Ann Williams, Patricia Kathleen Costello, Virginia Mary Hunt
Hearing Site: New York, NY
| | $0 |
| 20-02349 | 06/14/2021 | Claimant(s): James Gallagher Rollover IRA, James and Donna Gallagher
Claimant Lawyers(s): James J. Gallagher
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Veronica Ann Williams, Howard Alan Grinsberg, Phillip Michael Brown
Hearing Site: Jersey City, NJ
| | $0 |
| 20-01769 | 04/06/2021 | Claimant(s): Philip Rodriguez
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Veronica Ann Williams
Hearing Site: New York, NY
| | |
| 20-01772 | 02/11/2021 | Claimant(s): Anil Jethmal
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Veronica Ann Williams
Hearing Site: New York, NY
| | |
| 19-00130 | 11/13/2019 | Claimant(s): Joseph Glodek
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation, William Scott & Co. L.L.C.
Respondent Lawyers(s): Fred N. Knopf, Robert C. Hess
Arbitrator(s): Veronica Ann Williams
Hearing Site: Newark, NJ
| | |
| 17-01681 | 08/09/2019 | Claimant(s): The Joseph Conti Revocable Trust
Claimant Lawyers(s): Jared A. Levy
Respondent(s): Erik Pica, Joseph Stone Capital L.L.C.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Emily Diamond, Veronica Ann Williams, Loretta Yin
Hearing Site: Newark, NJ
| | $10,000 |
| 17-01523 | 02/13/2019 | Claimant(s): Ion Zupcu, Rodica Zupcu
Claimant Lawyers(s): Timothy J. O'Connor
Respondent(s): Kenneth Christman, Stifel, Nicolaus & Co.., Theresa Scott
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Veronica Ann Williams
Hearing Site: New York, NY
| | Expungement |
