| 18-01055 | 12/28/2021 | Claimant(s): Bennie Carmain, Gary Bridgers, John Daniels, John Eversgerd, Lawrence Clarke, Richard Myers, Russell Cascardo, Viktor Prozapas, AGS Underground, Tayskasi Oy, Ettinger Family Trust
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Kevin Harms, Yousuf Saljooki
Respondent Lawyers(s): Kevin Charles Harms, Yousuf Saljooki
Arbitrator(s): Joseph J. Arata, Rory M. McLaughlin, Jerome M Shafer
Hearing Site: New York, NY
|  | $792,117 |
| 16-03750 | 07/11/2018 | Claimant(s): Joseph Schena, Kathleen Schena
Claimant Lawyers(s): James P. Lucking
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Julian F. Santos, Jerome M Shafer, Michael J. Deodati
Hearing Site: New York, NY
| | Expungement |
| 13-03028 | 02/11/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Genyou Hu
Respondent Lawyers(s): Kevin K. Tung
Arbitrator(s): Lise Gabrielle Hunter, Jerome M Shafer, Arthur M. Schoenberger
Hearing Site: New York, NY
| | |
| 11-03985 | 05/21/2013 | Claimant(s): Robert Ceresa
Claimant Lawyers(s): David S. Richan
Respondent(s): Calvin Grigsby, Jerry Liang, Grigsby & Associates.
Respondent Lawyers(s): Regina L. Darby
Arbitrator(s): Anne Wickham Boyle, Sam Antar, Jerome M Shafer
Hearing Site: New York, NY
| | |
| 09-07047 | 01/29/2013 | Claimant(s): Louis Pitch and Donna Pitch
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Alida D. Camp, Jerome M Shafer, Scott W. Mulford
Hearing Site: New York, NY
| | $2,450,000 |
| 09-03793 | 06/30/2011 | Claimant(s): Julia A. Keenan, IRA, Stephen R. Keenan
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jerome M Shafer, Ira M. Ross, Howard Weitz
Hearing Site: New York, NY
| | Expungement |
| 09-01769 | 01/14/2011 | Claimant(s): Joseph Quattrocchi, Dependable Auto Body., George Tropiano IRA, Victor N. Sotra IRA, Katherine Ruotolo and Gina Ruotolo, Victor H. Stora and Lucille Stora
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): Allan Levine, Andrew Gonchar, Michael Schumacher, Polyvios Polyviou, Ronald Moschetta, Strasbourger Pearson Tulcin Wolff.
Respondent Lawyers(s): Karen B. Estis, Michael K. Coran, Peter M. Spett, Ronald Moschetta
Arbitrator(s): Richard W. Cutler, Edith M. Gunn, Jerome M Shafer
Hearing Site: New York, NY
| | $367,388 |
| 09-04491 | 10/27/2010 | Claimant(s): James Olinkiewicz
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): UBS Financial Services Inc., William Miller
Respondent Lawyers(s): A.J. Borrelli
Arbitrator(s): David J. Pine, Jettie K. Thomas, Jerome M Shafer
Hearing Site: New York, NY
| | $0 |
| 03-00802 | 08/03/2010 | Claimant(s): Raghavan Sathianathan
Claimant Lawyers(s): Raghavan Sathianathan
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Tim DiDomenico
Arbitrator(s): Earl S. Schwarz, Martin A. Edelstein, Jerome M Shafer
Hearing Site: New York, NY
| | |
