| 20-01084 | 02/15/2022 | Claimant(s): Antonia Hieronymus, Daniel Hassett, David Freshwater, Joseph Reilly, Steven Rothstein, Vijay Ande
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Joseph Alagna, Stephan Stein, Joseph Gunnar & Co.
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Roy B. Gonas, Michael J. Quarequio, Joseph Benalt
Hearing Site: Boca Raton, FL
|  | $512,731 |
| 19-01541 | 12/17/2021 | Claimant(s): Michael Fetzner
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Edward Rudiger, Kelli Mezzatesta, Reid & Rudiger LLC
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): James S. Parker, Jeffrey M. Bain, Clifford C. Rohde
Hearing Site: Buffalo, NY
| | $131,855 |
| 19-00416 | 12/16/2021 | Claimant(s): Huxley Richardson
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Aleksandr Osaulenko, Carmine Berardi
Respondent Lawyers(s): Aleksandr Osaulenko, Carmine Anthony Berardi
Arbitrator(s): John J. Fitzpatrick, Michael Craig Butterworth, Steven Akiba Swernofsky
Hearing Site: San Francisco, CA
| | $280,676 |
| 19-02993 | 12/16/2021 | Claimant(s): Mark Pflederer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Clifford Reid, Edward Rudiger, Reid & Rudiger LLC
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): Michael F. Jordan, Michele Braun, Pawan Bonner
Hearing Site: Chicago, IL
| | $0 |
| 19-02734 | 09/16/2021 | Claimant(s): Patrick Taylor
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Dennis Murphy, Jamaal Potter, James Webb, Cape Securities Inc.
Respondent Lawyers(s): Dennis James Murphy, Jamaal Nathan Potter, Judy A. Newcomb
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
| | $57,035 |
| 19-01867 | 09/08/2021 | Claimant(s): Anthony Porco
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Terrance J. Nolan, Betty Chen, John Michael Richardson
Hearing Site: New York, NY
| | $0 |
| 19-03519 | 08/04/2021 | Claimant(s): Bradford Kittle
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Marvin Kent Speigner, J. Wesley Romine, Emily Sides Bonds
Hearing Site: Birmingham, AL
| | $0 |
| 19-02564 | 02/04/2021 | Claimant(s): Shaheen Aulakh
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Matthew Stephen Duchesne
Hearing Site: Washington, DC
| | $0 |
| 15-03140 | 10/30/2020 | Claimant(s): Michael Magno
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Karimu F. Hill-Harvey, Robert E. Anderson, Adam S. King
Hearing Site: Syracuse, NY
| | $0 |
| 20-00600 | 10/20/2020 | Claimant(s): Mridula Anbarasan
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Julian F. Santos, Catherine Stewart, James F. Rohrman
Hearing Site: Newark, NJ
| | Dismissed by Rule 12206/12504 |
