| 22-02381 | 03/12/2024 | Claimant(s): Anthony Colucci, Maryann Colucci, Estate of Richard A. Colucci
Claimant Lawyers(s): David J. Freniere
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Ivan W. Harper, Linda J. Baer, Amy Jill Baranoff
Hearing Site: New York, NY
|  | Expungement |
| 23-00383 | 11/21/2023 | Claimant(s): Aram Seferian
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Continental Broker-Dealer Corp.
Respondent Lawyers(s): Thomas Tiernan
Arbitrator(s): Jill Pilgrim, Brian R. Cohen, Amy Jill Baranoff
Hearing Site: New York, NY
| | |
| 22-02206 | 03/30/2023 | Claimant(s): Andrea Tessler, Seymour Zises
Claimant Lawyers(s): David I. Hantman
Respondent(s): Family Management Securities
Respondent Lawyers(s): Philip Frank
Arbitrator(s): Amy Jill Baranoff
Hearing Site: New York, NY
| | |
| 20-03548 | 12/27/2022 | Claimant(s): Jack C. Louis Trust
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): BB&T Securities
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Veera V. Konka, Leona Beane, Amy Jill Baranoff
Hearing Site: New York, NY
| | Expungement |
| 21-01342 | 09/23/2022 | Claimant(s): Thiago Melzer
Claimant Lawyers(s): Jonathan S. Sack
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Kenneth Diamond, Amy Jill Baranoff, Peter E. Gillespie
Hearing Site: New York, NY
| | |
| 19-01064 | 10/18/2021 | Claimant(s): Kenneth Kwalik
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Eric A. Bensky
Arbitrator(s): Amy Jill Baranoff, Andrew Daniel Levine, Donald Francese
Hearing Site: New York, NY
| | |
| 20-03148 | 09/27/2021 | Claimant(s): Michael Fasciglione
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation, Oppenheimer & Co..
Respondent Lawyers(s): Emily A. Hayes, Nicola Anne Murphy
Arbitrator(s): Amy Jill Baranoff
Hearing Site: New York, NY
| | |
| 20-03218 | 09/03/2021 | Claimant(s): Kevin McPhee
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): American Capital Partners, Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John Gardini, Peter Bon Viso
Arbitrator(s): Amy Jill Baranoff
Hearing Site: New York, NY
| | |
| 19-02299 | 03/25/2021 | Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): Daniel A Spector
Respondent(s): Auguste Capital Partners
Respondent Lawyers(s): Leon Baer Borstein
Arbitrator(s): Alejandro Miguel Garro, Gerald H. Grayson, Amy Jill Baranoff
Hearing Site: New York, NY
| | $0 |
| 19-03441 | 12/18/2020 | Claimant(s): John Miller
Claimant Lawyers(s): Andrew J. Rodgers
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Leona Beane, Amy Jill Baranoff, Patricia Kathleen Costello
Hearing Site: New York, NY
| | $0 |
