| 23-01536 | 10/25/2024 | Claimant(s): Hector Crespo
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY
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| 23-00725 | 03/04/2024 | Claimant(s): Daniel Soe
Claimant Lawyers(s): Craig A. Riha
Respondent(s): First Republic Group
Respondent Lawyers(s): Edward Sampson
Arbitrator(s): Richard W. Vallario, Benjamin Steinberg, Glenn Ravenell
Hearing Site: New York, NY
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| 21-02961 | 12/04/2023 | Claimant(s): John Dabbs
Claimant Lawyers(s): David Wechsler
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Kenneth J. Kelly
Arbitrator(s): Richard W. Vallario, Carol Maria Luttati, Michael Casali
Hearing Site: New York, NY
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| 23-00071 | 08/17/2023 | Claimant(s): Korsa Nzidee
Claimant Lawyers(s): Joseph P. Allgor
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY
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| 22-02256 | 05/23/2023 | Claimant(s): Martin Petela
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Buckman, Buckman & Reid., Windsor Street Capital
Respondent Lawyers(s): John W. Stalanski, John Murphy
Arbitrator(s): Richard W. Vallario, Steven Gary Leventhal, Samuel A. Pilcer
Hearing Site: New York, NY
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| 22-01014 | 05/05/2023 | Claimant(s): Dmitry Netis
Claimant Lawyers(s): Shashi K. Dholandas
Respondent(s): Stephens Inc.
Respondent Lawyers(s): Allison Rhodes
Arbitrator(s): Richard W. Vallario, Melinda G Gordon, Marilyn Yang
Hearing Site: New York, NY
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| 21-00186 | 11/11/2022 | Claimant(s): Gabriel Antuna
Claimant Lawyers(s): Gabriel Fischbarg
Respondent(s): Andrew Garrett.
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): Richard W. Vallario, Elizabeth Gilbert, Joan Ellen Hoffman
Hearing Site: New York, NY
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| 21-01801 | 04/22/2022 | Claimant(s): Richard Eller
Claimant Lawyers(s): Brian Luther
Respondent(s): Securities America.
Respondent Lawyers(s): James B. Noblett
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY
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| 20-02099 | 02/23/2022 | Claimant(s): Kevin O'Neill
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Mark Kolta
Respondent Lawyers(s): Tosh Grebenik
Arbitrator(s): Richard W. Vallario, Lori H. Carena, Gerald M. Levine
Hearing Site: New York, NY
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| 20-02822 | 02/07/2022 | Claimant(s): James Rego, Robert Hill
Claimant Lawyers(s): Thomas McCabe
Respondent(s): John Stafford, Ronin Capital
Respondent Lawyers(s): Gary M. Miller
Arbitrator(s): Richard W. Vallario, Joshua Mark Zucker, Melnia Annero Cordis
Hearing Site: New York, NY
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