| 24-01758 | 11/19/2024 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): Meredith Webber
Respondent Lawyers(s): Meredith Archer Webber
Arbitrator(s): Thomas M. Madden
Hearing Site: Albany, NY
| | |
| 23-03373 | 08/22/2024 | Claimant(s): Vincent Gramuglia
Claimant Lawyers(s): Vincent Gramuglia
Respondent(s): Stephen Kyne, Cadaret, Grant & Co..
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Kenneth Dymond
Hearing Site: Albany, NY
|  | $0 |
| 23-02538 | 06/07/2024 | Claimant(s): Barnes Keller, Dale Hopkins, David Handy, Doug Ross, Kevin Major, Lawrence Clarke, Robert Burkett, Robert Grasso, Ted Brown
Claimant Lawyers(s): Brandon Dei
Respondent(s): Alexander Simpson, Derrick Walsh, Gary Wiedman, Kathy Faucher, Shawn Kinsella, Axos Clearing LLC
Respondent Lawyers(s): Carl S. Burkhalter
Arbitrator(s): Steven C. Kempisty, Esq.
Hearing Site: Albany, NY
| | Dismissed by Rule 12504 |
| 23-02951 | 05/13/2024 | Claimant(s): Stephen Soper
Claimant Lawyers(s): Joseph P. Allgor
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Thomas M. Madden
Hearing Site: Albany, NY
| | |
| 20-01555 | 02/09/2024 | Claimant(s): The Amvona Fund
Claimant Lawyers(s): Ian J. McLoughlin
Respondent(s): Christopher Pento, Joseph Vencil, Clear Street
Respondent Lawyers(s): Gayle R. Klein
Arbitrator(s): James E. Kleinbaum, Catherine Stewart, Michael A. Orticelle
Hearing Site: Albany, NY
| | $0 |
| 22-02428 | 12/27/2023 | Claimant(s): Matthew Smith
Claimant Lawyers(s): Jonathan S. McCardle
Respondent(s): George McAvoy, Securities America., Richard Tomisman, William Selig, CP Capital Management
Respondent Lawyers(s): Gregory M. Curley, Justin A. Heller
Arbitrator(s): Martin John Satalin, Stuart Eliot Finer
Hearing Site: Albany, NY
| | |
| 23-01435 | 12/12/2023 | Claimant(s): Jeffrey Hill
Claimant Lawyers(s): Robert Jay Moses
Respondent(s): American Portfolios Financial Srvs.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): John J. Mager
Hearing Site: Albany, NY
| | |
| 22-00277 | 11/10/2023 | Claimant(s): Brian Merriam, Judith Merriam
Claimant Lawyers(s): George J. Szary
Respondent(s): Morgan Stanley, Jeffrey Hollander
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): Linda A. Cotton, Jennifer L. Bliss, Thomas M. Madden
Hearing Site: Albany, NY
| | $200,000 |
| 22-01843 | 03/01/2023 | Claimant(s): Todd Slingerland
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC, Voya Financial Advisors.
Respondent Lawyers(s): Benjamin J. Biard, Rochelle Mayfield
Arbitrator(s): Steven R. Rolnick
Hearing Site: Albany, NY
| | |
| 22-01397 | 12/29/2022 | Claimant(s): Lawrence Natale
Claimant Lawyers(s): Robert J. Moses
Respondent(s): Purshe Kaplan Sterling Investments.
Respondent Lawyers(s): David M. Purcell
Arbitrator(s): Stuart M. Schwartz
Hearing Site: Albany, NY
| | |
