| 21-01636 | 03/08/2022 | Claimant(s): James Dy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
| | |
| 21-00393 | 01/07/2022 | Claimant(s): John Mustillo
Claimant Lawyers(s): Michael Hill
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Irisa Chen
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
|  | Expungement |
| 20-03168 | 11/23/2021 | Claimant(s): Angela Dugan, Anthony Ghibesi, The Estate of Ralph Ghibesi, Angela Dugan IRA, Anthony Ghibesi IRA
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
| | Expungement |
| 21-00899 | 10/12/2021 | Claimant(s): Mark Scordato
Claimant Lawyers(s): Kimberly A. Koves
Respondent(s): G.F. Investment Services
Respondent Lawyers(s): Larry Yager
Arbitrator(s): Louis H Miron, Linda T. Pellegrino, Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
| | |
| 21-00720 | 10/07/2021 | Claimant(s): Tomoe Odahara
Claimant Lawyers(s): Jordan D. Becker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Susan C Lushing, Annamaria Boccia Smith, Mark Peter Haslinger
Hearing Site: New York, NY
| | |
| 20-03119 | 09/16/2021 | Claimant(s): Michael Fasciglione
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation, First Montauk Securities Corp.
Respondent Lawyers(s): Emily A. Hayes, Robert I. Rabinowitz
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 19-03738 | 08/30/2021 | Claimant(s): Evan K. Halperin Revocable Living Trust
Claimant Lawyers(s): Barry A. Furman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mauricio Beugelmans
Arbitrator(s): William G. Binckes, Annamaria Boccia Smith, Hashim Ghadiali
Hearing Site: New York, NY
| | $0 |
| 20-03879 | 07/20/2021 | Claimant(s): Ana Pazmino
Claimant Lawyers(s): Darryl J. Bouganim
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Paul K. Barenholtz, Annamaria Boccia Smith, Edward W. Morris
Hearing Site: New York, NY
| | |
| 20-03987 | 06/08/2021 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew Shapren
Respondent(s): Robert Wong
Respondent Lawyers(s): Robert T. Wong
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 20-02131 | 05/19/2021 | Claimant(s): Joseph Andreoli
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
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