| 23-01738 | 04/16/2024 | Claimant(s): Qi Wen
Claimant Lawyers(s): William Bean
Respondent(s): Jefferies LLC
Respondent Lawyers(s): Andrew Shapren
Arbitrator(s): John Warner Lowe
Hearing Site: New York, NY
| | |
| 23-02255 | 01/24/2024 | Claimant(s): David Warshaw
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): American Portfolios Financial Srvs.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Abe I. Borenstein, Charles Platto, John Warner Lowe
Hearing Site: New York, NY
| | |
| 22-02842 | 09/13/2023 | Claimant(s): Sigmund Rogich, Stephen Sameroff, Robert Castiglione & Marilyn Castiglione, The Rogich 2004 Family Irrevocable Trust
Claimant Lawyers(s): Sam Schwartz
Respondent(s): David Turetzky, Morgan Stanley
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): Edward F. Zagajeski, Megan Brillault, John Warner Lowe
Hearing Site: New York, NY
|  | Dismissed by Rule 12206 |
| 22-01450 | 05/10/2023 | Claimant(s): Stephan Stein
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Joseph Gunnar & Co. LLC
Respondent Lawyers(s): Peter Bon Viso
Arbitrator(s): Vincent C. Pangia, John Warner Lowe, James Carlone
Hearing Site: New York, NY
| | |
| 22-00958 | 04/03/2023 | Claimant(s): Girard Courbois
Claimant Lawyers(s): Leo K. Barnes
Respondent(s): Philip Pursino, Pursino Advisory Group LLC
Respondent Lawyers(s): Philip Pursino
Arbitrator(s): Seth T. Taube, Richard Gee, John Warner Lowe
Hearing Site: New York, NY
| | $200,000 |
| 22-01474 | 03/06/2023 | Claimant(s): Paul Lamontanaro
Claimant Lawyers(s): Robert J. Hantman
Respondent(s): Joseph Stone Capital L.L.C.
Respondent Lawyers(s): James Vincent Pardy
Arbitrator(s): Thomas Caiaffa, Aaron Peron Ogletree, John Warner Lowe
Hearing Site: New York, NY
| | |
| 20-03910 | 12/23/2022 | Claimant(s): Diane Pomponio
Claimant Lawyers(s): Diane Pomponio
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Cheryl H. Agris, Lorrie E Whitfield, John Warner Lowe
Hearing Site: New York, NY
| | Expungement |
| 19-01392 | 12/12/2022 | Claimant(s): Jeffrey Cohen
Claimant Lawyers(s): David A. Schrader
Respondent(s): Wells Fargo Advisors Financial Network, Philip Pappas, Steven Dichter
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Annamaria Boccia Smith, John Herbert Grefe, John Warner Lowe
Hearing Site: New York, NY
| | $0 |
| 21-02947 | 12/05/2022 | Claimant(s): Joseph Scotto
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Weiner
Arbitrator(s): Harvey Barrison, Jeffrey P. Bachmann, John Warner Lowe
Hearing Site: New York, NY
| | |
| 21-01362 | 05/05/2022 | Claimant(s): Dolores Mitchell
Claimant Lawyers(s): Louis Tambaro
Respondent(s): Morgan Stanley, Royal Alliance Associates.
Respondent Lawyers(s): Amanda L. Parisi, James V. Noblett
Arbitrator(s): Robert J. Miller, Brian John Gallagher, John Warner Lowe
Hearing Site: New York, NY
| | |
