| 23-03396 | 10/30/2024 | Claimant(s): Daniel Michalow
Claimant Lawyers(s): Thomas A. Clare
Respondent(s): D.E. Shaw & Co., L.P.
Respondent Lawyers(s): Terri L. Chase
Arbitrator(s): Marcia L. Adelson, Linda J. Baer, Nancy Marie Thevenin
Hearing Site: New York, NY
| | |
| 23-02860 | 08/30/2024 | Claimant(s): Paul Padovani
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Morgan Stanley, Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christopher M. Sacco, Kathryn D. Perreault, Trae D. Meyr
Arbitrator(s): Linda J. Baer
Hearing Site: New York, NY
| | |
| 23-02722 | 05/30/2024 | Claimant(s): Sneha Mahajan
Claimant Lawyers(s): James P. Galvin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Linda J. Baer
Hearing Site: Jersey City, NJ
| | |
| 23-03236 | 05/24/2024 | Claimant(s): Gregory Manto
Claimant Lawyers(s): David E. Robbins
Respondent(s): Michael Quinn
Respondent Lawyers(s): Michael James Quinn
Arbitrator(s): Linda J. Baer
Hearing Site: New York, NY
| | |
| 23-03467 | 05/13/2024 | Claimant(s): Sergio Agopian
Claimant Lawyers(s): John E. Jenkins
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Linda J. Baer
Hearing Site: Jersey City, NJ
|  | $300 |
| 23-02653 | 03/15/2024 | Claimant(s): Douglas Schiffmiller
Claimant Lawyers(s): Robert Moses
Respondent(s): American Portfolios Financial Srvs.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Linda J. Baer
Hearing Site: New York, NY
| | |
| 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 |
| 23-00030 | 02/06/2024 | Claimant(s): Jean Sears
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Linda J. Baer
Hearing Site: New York, NY
| | |
| 23-00610 | 01/11/2024 | Claimant(s): Keith Medeck
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Jill Pilgrim, Linda J. Baer, Stefanie Stannard
Hearing Site: New York, NY
| | |
| 22-01420 | 12/28/2023 | Claimant(s): Brian Wells
Claimant Lawyers(s): Brian Wells
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Professional Clearing Corp, BOFA Securities.
Respondent Lawyers(s): Ronald Smith
Arbitrator(s): William A. Barrett, Linda J. Baer, Gregory Hunter Mathews
Hearing Site: Manchester, NH
| | $0 |
