19-02043 | 01/03/2020 | Claimant(s): Mitchell Hassenbein Claimant Lawyers(s): Faun Marie Phillipson Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): John T. McGuire Arbitrator(s): Michele S. Riley Hearing Site: New York, NY
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18-01670 | 07/24/2019 | Claimant(s): Kestra Financial., Kestra Investment Services Claimant Lawyers(s): Richard D'Amura Respondent(s): Stephen Luz Respondent Lawyers(s): Jeb Singer Arbitrator(s): Harvey Barrison, Marvin Schleyer, Michele S. Riley Hearing Site: New York, NY
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18-01316 | 06/17/2019 | Claimant(s): Israel Sporn Claimant Lawyers(s): James P Galvin Respondent(s): David Lerner Associates. Respondent Lawyers(s): Ruthann Granito Arbitrator(s): Laura Carraher, Michele S. Riley, Phillip Weitzman Hearing Site: New York, NY
| | Expungement |
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 |
18-03264 | 05/14/2019 | Claimant(s): Michael Fasciglione Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): National Securities Corporation, Continental Broker-Dealer Corp. Respondent Lawyers(s): Emily A. Hayes, Michael Clements Arbitrator(s): Michele S. Riley Hearing Site: New York, NY
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17-01370 | 03/13/2019 | Claimant(s): Claimant Lawyers(s): Respondent(s): Timothy Longo, Trident Partners Ltd. Respondent Lawyers(s): Eric J. Sussman, Giuseppe Franzella Arbitrator(s): Joan M. Traub, Paul S. Biederman, Michele S. Riley Hearing Site: New York, NY
| | $0 |
18-01482 | 01/02/2019 | Claimant(s): Christopher Mittleman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Karl L. Marquardt Arbitrator(s): Michele S. Riley Hearing Site: New York, NY
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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 |
15-03185 | 08/09/2018 | Claimant(s): Sukhminder Pannu and Prabhjot Dillion Claimant Lawyers(s): Arthur C. Koski Respondent(s): Interactive Brokers LLC Respondent Lawyers(s): David Luger Arbitrator(s): Keith Roberts, Clive I. Morrick, Michele S. Riley Hearing Site: New York, NY
| | $0 |
17-00399 | 03/16/2018 | Claimant(s): Taylor Joseph Claimant Lawyers(s): James W Halter Respondent(s): Imperial Capital Respondent Lawyers(s): Bentley P. Stansbury Arbitrator(s): Michele S. Riley, Veronica Ann Williams, Cirino M. Bruno Hearing Site: New York, NY
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