| 22-00445 | 09/02/2022 | Claimant(s): Christopher Farrell
Claimant Lawyers(s): Brian Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Harrison Johnson
Hearing Site: New York, NY
| | |
| 21-02257 | 05/04/2022 | Claimant(s): Joseph Amato
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Alexander Capital, L.P.
Respondent Lawyers(s): Rocco Guidicipierto
Arbitrator(s): Stephen J. Patti, Harrison Johnson, Veronica Ann Williams
Hearing Site: New York, NY
| | |
| 20-01070 | 09/23/2021 | Claimant(s): Jess DiPasquale
Claimant Lawyers(s): Alan L. Rosca
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Betty Chen, Harrison Johnson, Emily Diamond
Hearing Site: New York, NY
|  | $0 |
| 19-01023 | 09/17/2019 | Claimant(s): Gregory Tomlinson
Claimant Lawyers(s): Gregory Tomlinson
Respondent(s): Robinhood Financial, Robinhood Securities
Respondent Lawyers(s): Jonathan J. Brennan
Arbitrator(s): Harrison Johnson
Hearing Site: New York, NY
| | $180 |
| 18-03295 | 05/03/2019 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Vy Truong
Respondent Lawyers(s): Vy Truong
Arbitrator(s): Kenneth Paul Williams, Alan Gradzki, Harrison Johnson
Hearing Site: New York, NY
| | |
| 18-03530 | 04/12/2019 | Claimant(s): Johnson Andrews
Claimant Lawyers(s): Johnson George Andrews
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Robert A. Cohen, Roger B. Jacobs, Harrison Johnson
Hearing Site: New York, NY
| | Expungement |
| 18-01217 | 10/26/2018 | Claimant(s): Vasilios Takos
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): National Securities Corporation, Continental Broker-Dealer Corp.
Respondent Lawyers(s): Emily Hayes, Michael Clements
Arbitrator(s): Harrison Johnson
Hearing Site: New York, NY
| | |
| 17-00773 | 02/27/2018 | Claimant(s): St. Anel Saint-Vilus
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Clive I. Morrick, Harrison Johnson
Hearing Site: New York, NY
| | $0 |
| 16-01492 | 07/14/2017 | Claimant(s): Barbara Blethen, Christopher Wallace, Gerard Gawel, Marie Wallace
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Philip Fatta, Blackbook Capital, Legend Securities.
Respondent Lawyers(s): Franklin Ogele, Philip Orezio Fatta, Salvatore Caruso
Arbitrator(s): Daniel Robbins, Dolores D. Balsamo, Harrison Johnson
Hearing Site: New York, NY
| | $584,796 |
| 14-00356 | 09/15/2015 | Claimant(s): Eden Falik
Claimant Lawyers(s): Rishi Bhandari
Respondent(s): BGC Financial, L.P.
Respondent Lawyers(s): Michael S. Popok
Arbitrator(s): Karen M. Cullen, Robert M. Goldstein, Harrison Johnson
Hearing Site: New York, NY
| | |
