| 20-03674 | 09/22/2022 | Claimant(s): Richard Dawalt
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Joseph Stone Capital L.L.C.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Rafael A. Porrata-Doria, Fred W. Miller, Stephen J. Scherf
Hearing Site: Philadelphia, PA
|  | $75,000 |
| 22-00115 | 06/16/2022 | Claimant(s): Gary Brown
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Joseph Stone Capital L.L.C.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Joseph A. Vicario, Eric Ross Cromartie, Ye Whei Peter Chen
Hearing Site: Dallas, TX
| | Dismissed by Rule 12206 |
| 18-03495 | 02/15/2022 | Claimant(s): Diane Sagrillo, Robert Sagrillo
Claimant Lawyers(s): Jason J. Kane
Respondent(s): David Turner, John Vansant, Cascade Financial Management.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Richard J. Lawrence, Baldwin Ranson, Eileen Joan Carpenter
Hearing Site: Denver, CO
| | Expungement |
| 20-00285 | 10/05/2020 | Claimant(s): Charles Collins
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): John Marky, Network 1 Financial Securities Inc.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Frank E. Wolf
Hearing Site: Charlotte, NC
| | $300 |
| 18-02049 | 05/20/2020 | Claimant(s): Frieda McCay, Terry McCay, Terry McCay & Frieda C. McCay Rev Trust
Claimant Lawyers(s): Bradford M Gucciardo
Respondent(s): Sebastian Wyczawski, Stalin Cruz
Respondent Lawyers(s): David Hirschberg, Stalin Alfredo Cruz
Arbitrator(s): John P. Cullem, Lita S Menkin, Ian S. Greig
Hearing Site: Nashville, TN
| | $0 |
| 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 |
| 16-02059 | 04/10/2019 | Claimant(s): Thomas Whitman
Claimant Lawyers(s): Richard Fosher
Respondent(s): Joseph Stone Capital L.L.C.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Edward Blumstein, Tina E. Patterson, W. Michael Frazier
Hearing Site: Charleston, WV
| | $74,993 |
| 17-02392 | 07/05/2018 | Claimant(s): Adam Riback
Claimant Lawyers(s): David Hirschberg
Respondent(s): Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Robert J. Kheel
Hearing Site: New York, NY
| | |
| 14-02904 | 06/01/2016 | Claimant(s): James Parker and Maria Parker JTWROS
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Marc Whitehead, Paul Celentano, Harbor Financial Services
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Ruth C. Adrian, Audrey Belitz Rauchway, John B. Roe
Hearing Site: Tampa, FL
| | Expungement |
| 14-00213 | 04/16/2015 | Claimant(s): Philip Lefkowitz
Claimant Lawyers(s): David Hirschberg
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Kevin Leblang
Arbitrator(s): Linda J. Baer, John B. Sprung, Peter Susser
Hearing Site: New York, NY
| | |
