| 23-03010 | 07/24/2024 | Claimant(s): John Girgis
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Worden Capital Management LLC, Brookstone Securities., Legend Securities.
Respondent Lawyers(s): David W. Locy, Jamie J. Worden, Salvortore C. Caruso
Arbitrator(s): Jeffrey Alan Helewitz, Kathleen Cawley, Gerald M. Levine
Hearing Site: New York, NY
| | |
| 19-00001 | 05/05/2022 | Claimant(s): Legend Securities.
Claimant Lawyers(s): Salvatore Caruso
Respondent(s): COR Clearing LLC, Stocktrade Network.
Respondent Lawyers(s): Carl S. Burkalter, Salvatore Caruso
Arbitrator(s): Charles L. Henderson, Madelyn A. Levy, Thomas Hansen Boast
Hearing Site: New York, NY
| | |
| 19-00102 | 04/07/2020 | Claimant(s): Jay Brandt
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Richard Coleman, Legend Securities.
Respondent Lawyers(s): Richard James Coleman, Salvatore C. Caruso
Arbitrator(s): Michael Fischetti, Robin David Bleecher, Louis P. Wagman
Hearing Site: Wilmington, DE
|  | $110,913 |
| 19-00641 | 02/03/2020 | Claimant(s): Louis Colonna
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ali Mayar, Daniel King, Francis Smookler, Yousuf Saljooki, Brookville Capital Partners, Legend Securities.
Respondent Lawyers(s): Brett D. Zinner, Gabriel Iezzoni, Robert M. Bursky, Ross J. Kartez, Salvatore C. Caruso, Yousuf Saljooki
Arbitrator(s): Robert J. Scafuri, John W. Eichleay, Mary Kathleen Coleman
Hearing Site: Pittsburgh, PA
| | $150,000 |
| 19-01881 | 12/27/2019 | Claimant(s): Michael Rowan IRA
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Adam Morsi, Michael Guilfoyle, Legend Securities.
Respondent Lawyers(s): Hisham Hamed, Michael Nicholas Guilfoyle, Salvatore Caruso
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | $36,000 |
| 15-00802 | 06/25/2019 | Claimant(s): Frederick Blake
Claimant Lawyers(s): Neil B. Solomon
Respondent(s): Anthony Fusco, Bernardo Misseri, Brian Decker, Steven Meyer, Legend Securities.
Respondent Lawyers(s): Anthony Fusco, Bernardo Misseri, Brian K. Decker, Salvatore C. Caruso, Steven J. Meyer
Arbitrator(s): Edward R. Niederriter, Mark I. Roth, Robert J. Buchner
Hearing Site: Boca Raton, FL
| | $967,008 |
| 15-00484 | 05/15/2019 | Claimant(s): John Kenyon
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Anthony Sercia, Jason Klabal, Mario Sclafani, Michael Androulakis, Legend Securities.
Respondent Lawyers(s): Anthony Frank Sercia, Jason Harris Klabal, Mario Charles Sclafani, Salvatore Caruso, Scott Holcomb
Arbitrator(s): Sidney N. Weiss, Michele S. Riley, Ronald Jay Horowitz
Hearing Site: New York, NY
| | Expungement |
| 17-03193 | 03/14/2019 | Claimant(s): Michael Potts
Claimant Lawyers(s): Bradley Schnur
Respondent(s): Michael Freeman, Legend Securities.
Respondent Lawyers(s): Michael Edgar Freeman, Salvatore C. Caruso
Arbitrator(s): John J. Mager
Hearing Site: Hartford, CT
| | $67,361 |
| 17-00910 | 11/23/2018 | Claimant(s): Herbert Voss
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Danard Brown, Frank Fusco, Legend Securities.
Respondent Lawyers(s): Danard W. Brown, Frank Philip Fusco, Salvatore C. Caruso
Arbitrator(s): Benjamin L. Anderson, Michele S. Riley, Wallace Anthony Showman
Hearing Site: New York, NY
| | $1,075,000 |
| 17-00826 | 11/08/2018 | Claimant(s): Adam Franzen
Claimant Lawyers(s): Rosemary Cooney
Respondent(s): Daniel King, Frank Fusco, Michael Stanton, Legend Securities.
Respondent Lawyers(s): Frank P. Fusco, Michael S. Stanton, Ross J. Kartez, Salvatore C. Caruso
Arbitrator(s): Ellen J. Abrams
Hearing Site: Boca Raton, FL
| | $0 |
