| 23-02320 | 07/01/2024 | Claimant(s): Daniel Wise
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Kristi E. Jacques
Arbitrator(s): Lise Gabrielle Hunter, Francis J. LaSalla, Eugene G. P. Byrne
Hearing Site: New York, NY
| | |
| 23-00696 | 05/24/2024 | Claimant(s): Mark Schrader
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Madelon M. Rosenfeld, Glen R. Stifelman, Eugene G. P. Byrne
Hearing Site: New York, NY
| | |
| 20-04080 | 12/04/2023 | Claimant(s): Alexander Kuznetsov
Claimant Lawyers(s): Alexander Kuznetsov
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Shelley Teitelbaum, Donald N. Cohen, Eugene G. P. Byrne
Hearing Site: New York, NY
|  | Dismissed by Rule 12212 and 12511 |
| 22-02739 | 05/18/2023 | Claimant(s): Michael Orr
Claimant Lawyers(s): Michael Orr
Respondent(s): Laurence Allen, Michael Schunk, Nyppex
Respondent Lawyers(s): Jonathan E. Neuman
Arbitrator(s): Eugene G. P. Byrne
Hearing Site: New York, NY
| | |
| 22-00173 | 10/31/2022 | Claimant(s): Stuart Updegrove
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation, Eastbrook Capital Group LLC
Respondent Lawyers(s): Edward Sampson, Emily A. Hayes
Arbitrator(s): Eugene G. P. Byrne, Mark Joseph Hyland
Hearing Site: New York, NY
| | |
| 19-02385 | 10/07/2022 | Claimant(s): Jonathan Peters
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): Chad Allen, Oppenheimer & Co.., Matthew Platnico, Petar Arizanov
Respondent Lawyers(s): Brian J. Neville, John T. McGuire, Joseph E. Gasperetti
Arbitrator(s): Thomas E. Duggan, Eugene G. P. Byrne, Tip Henderson
Hearing Site: New York, NY
| | Expungement |
| 20-03921 | 03/25/2022 | Claimant(s): Nicholas Packer, Hove Investments Holding Limited
Claimant Lawyers(s): Brendan J. O'Rourke
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Eugene G. P. Byrne, Nicholas M. Herubin, Samuel Philip Gunther
Hearing Site: New York, NY
| | Expungement |
| 20-03207 | 07/20/2021 | Claimant(s): Scott Fitzgerald
Claimant Lawyers(s): Louis Tambaro
Respondent(s): Royal Alliance Associates., Vanderbilt Securities
Respondent Lawyers(s): Charles M. O'Rourke, James V. Noblett
Arbitrator(s): Eugene G. P. Byrne
Hearing Site: New York, NY
| | |
| 19-02415 | 02/04/2021 | Claimant(s): Mary Anne Cunney
Claimant Lawyers(s): Alan L. Frank
Respondent(s): Amy Curley, Morgan Stanley, Raymond George
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Elizabeth Gilbert, Eugene G. P. Byrne, Sofia Balile
Hearing Site: New York, NY
| | $309,038 |
| 20-00145 | 11/18/2020 | Claimant(s): Warren Rivetz
Claimant Lawyers(s): Amy Beth Bard
Respondent(s): Morgan Stanley, Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff, Joseph A. Sack
Arbitrator(s): Eugene G. P. Byrne
Hearing Site: New York, NY
| | |
