| 23-02976 | 06/18/2024 | Claimant(s): Bryan Rosen
Claimant Lawyers(s): Anthony D. Green
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Arthur Neil Tolciss, Susan Romano, Andrew Robert Kosloff
Hearing Site: New York, NY
| | |
| 22-00799 | 02/07/2024 | Claimant(s): Peter Dao
Claimant Lawyers(s): Peter Giahao Dao
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Peter J. Pizzi
Arbitrator(s): Arthur Neil Tolciss, Regina Waynes Joseph, Cynthia Kouril
Hearing Site: New York, NY
| | |
| 23-00695 | 01/04/2024 | Claimant(s): Keith Medeck
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Continental Broker-Dealer Corp.
Respondent Lawyers(s): Michael Clements
Arbitrator(s): Ted M. Rosen, Neil G. Gargiulo, Arthur Neil Tolciss
Hearing Site: New York, NY
| | |
| 22-02525 | 12/29/2023 | Claimant(s): Dale Deutsch, Lou Deutsch, Dale G. Deutsch Revocable Living Trust, Lou C. Deutsch Revocable Living Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Arthur Neil Tolciss, Barry Steven Port, Mitchell Regenbogen
Hearing Site: New York, NY
|  | Expungement |
| 22-02758 | 06/28/2023 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Albert Foronda
Respondent Lawyers(s): Albert Foronda
Arbitrator(s): Arthur Neil Tolciss
Hearing Site: New York, NY
| | |
| 22-01505 | 01/25/2023 | Claimant(s): David Calderon
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): Arthur Neil Tolciss, Cheryl Catherine McLarin, Alan Steven Mittleman
Hearing Site: New York, NY
| | |
| 21-02092 | 04/14/2022 | Claimant(s): Anthony Salerno
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Arthur Neil Tolciss
Hearing Site: New York, NY
| | |
| 21-00416 | 06/23/2021 | Claimant(s): Sigve Mauritzen
Claimant Lawyers(s): Sigve Mauritzen
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Arthur Neil Tolciss
Hearing Site: New York, NY
| | $0 |
| 19-03375 | 08/28/2020 | Claimant(s): Paul Selvin
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Arthur Neil Tolciss
Hearing Site: New York, NY
| | |
| 19-01375 | 02/28/2020 | Claimant(s): David Gross
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Arthur Neil Tolciss
Hearing Site: New York, NY
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