| 23-03026 | 02/29/2024 | Claimant(s): Adam Epstein
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J Gworek
Arbitrator(s): Susan Manca
Hearing Site: New York, NY
| | |
| 23-01059 | 11/09/2023 | Claimant(s): Mark Romaine
Claimant Lawyers(s): Craig A. Riha
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Mark A. Pratzel
Arbitrator(s): Susan Manca
Hearing Site: New York, NY
| | |
| 19-01303 | 09/19/2022 | Claimant(s): Jonathan Harber
Claimant Lawyers(s): Alan Rosca
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Susan Manca, Harvey E. Benjamin, Mitchell H Rubinstein
Hearing Site: New York, NY
|  | Expungement |
| 15-02780 | 07/16/2021 | Claimant(s): Rice Financial Products Company
Claimant Lawyers(s): Lisa-Sheri Torrence
Respondent(s): Devin Wicker, Bonwick Capital Partners
Respondent Lawyers(s): Marc Jonas Block
Arbitrator(s): Aubrey Lees, Susan Manca, Rebecca Ann Berlow
Hearing Site: New York, NY
| | |
| 18-01151 | 01/23/2020 | Claimant(s): Garett Ceraso
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Joseph R. Brancaleone, Martin L. Feinberg, Susan Manca
Hearing Site: New York, NY
| | |
| 15-03492 | 05/13/2019 | Claimant(s): Dolores Soccodato
Claimant Lawyers(s): Brad S. Maistrow
Respondent(s): Mark Ketner, Maxim Group LLC
Respondent Lawyers(s): Ian H. Hummel
Arbitrator(s): Julian F. Santos, Alice E. Winkler, Susan Manca
Hearing Site: New York, NY
| | $226,356 |
| 17-01682 | 03/19/2019 | Claimant(s): Leon Morgan
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): John Lowry, Kim Monchik, SCS Advisory Services, Spartan Capital Holding, Spartan Capital Securities
Respondent Lawyers(s): Liam O'Brien
Arbitrator(s): Susan Manca, Bryan Lane Berson, Elliot Schnapp
Hearing Site: New York, NY
| | Expungement |
| 18-02435 | 03/08/2019 | Claimant(s): Nicholas Owoyemi
Claimant Lawyers(s): Nicholas Adelani Owoyemi
Respondent(s): R.M. Stark & Co..
Respondent Lawyers(s): Ellen Adler
Arbitrator(s): Donna Christina Chin, Susan Manca, Barry Jay Mandel
Hearing Site: New York, NY
| | |
| 16-01479 | 06/14/2017 | Claimant(s): Robert Yun
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Mark Karow, Legend Securities.
Respondent Lawyers(s): Mark Alan Karow, Sergio Caruso
Arbitrator(s): Susan Manca
Hearing Site: New York, NY
| | $0 |
| 11-02043 | 05/09/2013 | Claimant(s): Tracy Landow
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Goldman, Sachs and Company, John Blondel
Respondent Lawyers(s): Mark Cohen
Arbitrator(s): Fern Sue Reidman, April D. Bowie, Susan Manca
Hearing Site: New York, NY
| | $1,647,910 |
