| 18-00463 | 01/11/2019 | Claimant(s): Kent Pearce
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Louis P. Wagman
Hearing Site: Baltimore, MD
| | |
| 17-02620 | 12/05/2018 | Claimant(s): Dorothy Pariot, Dorothy H. Pariot Living Trust
Claimant Lawyers(s): Seth E Lipner
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Doris J. Dabrowski, Louis P. Wagman, Kathleen Jones Spilker
Hearing Site: Philadelphia, PA
|  | $0 |
| 17-03091 | 07/27/2018 | Claimant(s): Frank Esposto
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Morgan Stanley
Respondent Lawyers(s): Alan S. Brodherson, Andrew Gelfand
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
| | |
| 14-03249 | 07/19/2018 | Claimant(s): Prime Properties of NY 1.
Claimant Lawyers(s): Kenneth B. Schwartz
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): David S. Richan
Arbitrator(s): Louis P. Wagman, Paul C. Tang, John Michael Bergin
Hearing Site: New York, NY
| | $0 |
| 15-02100 | 10/20/2017 | Claimant(s): Folashade Ojediran
Claimant Lawyers(s): Folashade Ojediran
Respondent(s): Edward Rivadeneira, TD Ameritrade.
Respondent Lawyers(s): John Stewart
Arbitrator(s): Elizabeth Gilbert, Howard J. Stiefel, Louis P. Wagman
Hearing Site: New York, NY
| | |
| 15-00070 | 08/04/2017 | Claimant(s): Estate of Margaret Riggs
Claimant Lawyers(s): Alan P. Fraade
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Advisors, Michael Tepperman
Respondent Lawyers(s): Zachary S. Knoblock
Arbitrator(s): Linda Ashley, Annamaria Boccia Smith, Louis P. Wagman
Hearing Site: New York, NY
| | Expungement |
| 15-02589 | 04/26/2017 | Claimant(s): John Shillingford, Mark Leyton
Claimant Lawyers(s): John D. Singer
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Leslie Ruth Nydick, Louis P. Wagman, Mark Cuccaro
Hearing Site: New York, NY
| | |
| 15-00413 | 09/10/2015 | Claimant(s): Jack Kagan
Claimant Lawyers(s): Jack J. Kagan
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Cassie D. Stroud
Arbitrator(s): Louis P. Wagman
Hearing Site: New York, NY
| | $38 |
| 14-02874 | 07/28/2015 | Claimant(s): Mehmet Erkul
Claimant Lawyers(s): Mehmet Ercan Erkul
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Elliot Berman, Ronald F. Rosner, Louis P. Wagman
Hearing Site: New York, NY
| | $0 |
| 14-02178 | 03/31/2015 | Claimant(s): David Yusupov
Claimant Lawyers(s): David Yusupov
Respondent(s): Cole Miller
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Louis P. Wagman
Hearing Site: New York, NY
| | $0 |
