| 19-02927 | 05/12/2021 | Claimant(s): Douglas Evans, Hickory Capital
Claimant Lawyers(s): Douglas Evans
Respondent(s): Kevin Sullivan, GWFS Equities.
Respondent Lawyers(s): Michael R. Greco, Timothy J. Perry
Arbitrator(s): Joan Marie Chiusano, Paul Allan Massaro, Lisa Diane Love
Hearing Site: Jersey City, NJ
| | |
| 18-03234 | 05/31/2019 | Claimant(s): Susan Mcconnell
Claimant Lawyers(s): Susan McConnell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Justin Condit
Arbitrator(s): Joan Marie Chiusano, Sam Antar, James M. Rhodes
Hearing Site: Newark, NJ
| | |
| 15-03454 | 07/17/2018 | Claimant(s): Market Bridge Capital Global Macro
Claimant Lawyers(s): Robert Miller
Respondent(s): Ladenburg Thalmann & Co. Inc.
Respondent Lawyers(s): Michael D. Handelsman
Arbitrator(s): Joan Marie Chiusano, Joseph I. Liebman, Sandra Holtzman
Hearing Site: New York, NY
|  | $0 |
| 16-01469 | 06/15/2017 | Claimant(s): David Allen
Claimant Lawyers(s): David Arthur Allen
Respondent(s): Michael Clements, Avenir Financial Group
Respondent Lawyers(s): Michael Clements
Arbitrator(s): Howard J. Stiefel, Daniel Robbins, Joan Marie Chiusano
Hearing Site: New York, NY
| | |
| 14-01486 | 01/06/2017 | Claimant(s): Renee Vanek
Claimant Lawyers(s): Margaret Peper
Respondent(s): Affinity Federal Credit Union, Affinity Investment Services
Respondent Lawyers(s): David E. Strand
Arbitrator(s): Louis H. Miron, Joan Marie Chiusano, Eric Moss Stein
Hearing Site: Newark, NJ
| | |
| 12-02032 | 03/03/2014 | Claimant(s): Daniel Baron
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Adam Riback, National Securities Corporation
Respondent Lawyers(s): Richard A. Roth
Arbitrator(s): Fred S. Pieroni, Barbara Weisman, Joan Marie Chiusano
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 11-04681 | 09/18/2013 | Claimant(s): Roger Davidson, Redwood F Trust, Redwood II F Trust, FBO Naomi Davidson, FBO William Davidson, Redwood II Trust, Robin II Trust, Roger C. Davidson Revocable Trust
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Romaine L. Gardner, Sandra J. Mullings, Joan Marie Chiusano
Hearing Site: New York, NY
| | Expungement |
| 11-04267 | 08/28/2012 | Claimant(s): Anthony Llanes
Claimant Lawyers(s): Anthony Llanes
Respondent(s): Anthony Lodati, Brett Zinner, John Conroy, Kevin Brennan, Benson York Group., Brookville Capital Partners, New Castle Financial Group Inc.
Respondent Lawyers(s): Bradford A. Miller, Brett D. Zinner, Cristina M. Brennan, John Joseph Conroy
Arbitrator(s): Leah R. Marks, Joan Marie Chiusano, Ellen R. Badinelli
Hearing Site: New York, NY
| | |
| 11-02098 | 06/12/2012 | Claimant(s): Williams Trading LLC
Claimant Lawyers(s): Philip J. Campisi
Respondent(s): Christopher Murphy, Jeremy Weemhoff, Mark Janssens, Access Securities
Respondent Lawyers(s): David S. Smith, John P. Barry
Arbitrator(s): Irene C. Warshauer, Joan Marie Chiusano, Gregory J. Getz
Hearing Site: New York, NY
| | |
| 10-02584 | 04/25/2012 | Claimant(s): Karabi Sinha
Claimant Lawyers(s): Barry R. Lax
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Cynthia H. Plishtin, Robert E. Anderson, Joan Marie Chiusano
Hearing Site: Newark, NJ
| | $154,479 |
