| 23-03033 | 09/10/2024 | Claimant(s): Matthew Buchsbaum
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Laura Carraher
Hearing Site: New York, NY
| | |
| 23-02740 | 05/16/2024 | Claimant(s): Donald Durando
Claimant Lawyers(s): Joshua Kons
Respondent(s): PHX Financial.
Respondent Lawyers(s): Kevin Chen
Arbitrator(s): Laura Carraher, Nancy Kramer, Maurice W Heller
Hearing Site: New York, NY
| | |
| 23-03400 | 05/02/2024 | Claimant(s): Douglas Evans
Claimant Lawyers(s): Douglas C. Evans
Respondent(s): Eric Chu, Michael Blackburn, Tradesk Securities.
Respondent Lawyers(s): Eric Chu, Michael R. Blackburn
Arbitrator(s): Laura Carraher
Hearing Site: New York, NY
| | |
| 22-00501 | 11/06/2023 | Claimant(s): Disruptive Ventures
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Erika Mckiernan, Greg Brogger, Forge Securities LLC
Respondent Lawyers(s): Daniel Zinman, David A. Kotler
Arbitrator(s): Peter A. Goldman, Laura Carraher, Ira A. Auerbach
Hearing Site: New York, NY
|  | Expungement |
| 21-01831 | 04/13/2022 | Claimant(s): Thomas Rimini
Claimant Lawyers(s): Thomas Rimini
Respondent(s): J.P. Morgan Securities, Bear Stearns Asset Management Inc.
Respondent Lawyers(s): Eric K. Hildenbrand, Steven J. Pearlman
Arbitrator(s): Laura Carraher, Michael S. Lazan, Leona Beane
Hearing Site: New York, NY
| | |
| 20-03487 | 09/13/2021 | Claimant(s): Judy Block, Frances Norman Block Trust
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Morgan Stanley, Robert Ruffo
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Paul C. Kurland, Laura Carraher, Rory M. McLaughlin
Hearing Site: New York, NY
| | Expungement |
| 16-00473 | 07/31/2019 | Claimant(s): Gregory Smyth, Mary Smyth, GPS & MCS Limited Partnership
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Fred S. Pieroni, Laura Carraher, Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | $0 |
| 18-01316 | 06/17/2019 | Claimant(s): Israel Sporn
Claimant Lawyers(s): James P Galvin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Ruthann Granito
Arbitrator(s): Laura Carraher, Michele S. Riley, Phillip Weitzman
Hearing Site: New York, NY
| | Expungement |
| 17-01540 | 01/09/2019 | Claimant(s): Daniel Breen
Claimant Lawyers(s): Steven Paradise
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Sandra J. Mullings, Laura Carraher, Theodore A Levine
Hearing Site: New York, NY
| | |
| 16-00938 | 06/21/2017 | Claimant(s): James Khezrie, Joseph Khezrie, E & J Lawrence Corporation
Claimant Lawyers(s): Adam Gana
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Laura Carraher, Robert E. Anderson, Nancy Kramer
Hearing Site: New York, NY
| | Expungement |
