21-01577 | 06/23/2022 | Claimant(s): Marko Gnann Claimant Lawyers(s): Robert Volynsky Respondent(s): Donovan Mannato, Morgan Stanley, Wells Fargo Clearing Services Respondent Lawyers(s): Abigail Elrod, Andrew W. Sidman, Kevin D. Galbraith Arbitrator(s): Sandra J. Mullings, Marion F. Posner, Vaughn Norman Browne Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
21-02391 | 05/09/2022 | Claimant(s): Steven Rapoport Claimant Lawyers(s): Thomas McEvoy Respondent(s): DPEC Capital., Westrock Advisors. Respondent Lawyers(s): Keith Fasano, Louis J. Rich Arbitrator(s): Sandra J. Mullings Hearing Site: New York, NY
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21-01589 | 10/22/2021 | Claimant(s): Randi Speedling Claimant Lawyers(s): Brandon M. Taaffe Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Sandra J. Mullings, Paul Bennett Marrow, Jonathan Cooper Hearing Site: New York, NY
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20-03134 | 09/08/2021 | Claimant(s): Mark Kolta Claimant Lawyers(s): Tosh Grebenik Respondent(s): National Securities Corporation Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): Sandra J. Mullings Hearing Site: New York, NY
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20-01464 | 01/27/2021 | Claimant(s): Pedro Dias Claimant Lawyers(s): Dochtor Kennedy Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Jeffrey S. Dunlap Arbitrator(s): Sandra J. Mullings Hearing Site: New York, NY
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19-03752 | 11/09/2020 | Claimant(s): Donald Robbins Claimant Lawyers(s): David M. Rosenfield Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Thomas E. Duggan, Sandra J. Mullings, Cheryl H. Agris Hearing Site: New York, NY
| | Expungement |
20-00387 | 05/12/2020 | Claimant(s): Hitesh Mittal Claimant Lawyers(s): David I. Hantman Respondent(s): Alps Distributors. Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Sandra J. Mullings Hearing Site: New York, NY
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19-02061 | 03/09/2020 | Claimant(s): Joseph Guarneri Claimant Lawyers(s): Patrick R. Mahoney Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Sandra J. Mullings Hearing Site: New York, NY
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19-02774 | 02/25/2020 | Claimant(s): Robert Gilman Claimant Lawyers(s): John Stewart Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Sandra J. Mullings Hearing Site: New York, NY
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18-04034 | 01/30/2020 | Claimant(s): Francois-Xavier Rouffiac Claimant Lawyers(s): Jonathan Sack Respondent(s): BNP Paribas Securities Corp. Respondent Lawyers(s): Lloyd B. Chinn Arbitrator(s): Sandra J. Mullings, Geoffrey M. Elkind, Peter E. Gillespie Hearing Site: New York, NY
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