| 21-01534 | 05/18/2023 | Claimant(s): Raymond Potter
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Leslie Ruth Nydick, Thomas M. Madden, Rick Rutman
Hearing Site: New York, NY
| | |
| 22-01452 | 04/27/2023 | Claimant(s): Joseph Alagna
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Joseph Gunnar & Co. LLC
Respondent Lawyers(s): Peter Bon Viso
Arbitrator(s): Lynne M. Reid-McQueen, Leslie Ruth Nydick, Brian John Gallagher
Hearing Site: New York, NY
| | |
| 17-01718 | 06/16/2021 | Claimant(s): Kayvan Karoon, KS Capital Management
Claimant Lawyers(s): Philip L. Guarino
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Leslie Ruth Nydick, James M. Rhodes, Antonio Di Palma
Hearing Site: Jersey City, NJ
| | |
| 17-03190 | 07/03/2019 | Claimant(s): Sanjay Rajwani
Claimant Lawyers(s): Neal Brickman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Elizabeth Gilbert, Leslie Ruth Nydick, Michael Davies
Hearing Site: New York, NY
| | |
| 17-00637 | 01/02/2019 | Claimant(s): Henry Zimmerman, Linda Zimmerman
Claimant Lawyers(s): Gerardino Di Popolo
Respondent(s): Francis Gendlek
Respondent Lawyers(s): Francis Joseph Gendlek
Arbitrator(s): Leslie Ruth Nydick, Angela Foster, James F. Rohrman
Hearing Site: Newark, NJ
|  | $53,200 |
| 16-03597 | 01/24/2018 | Claimant(s): Industrial And Commercial Bank Of China
Claimant Lawyers(s): Steven Eckhaus
Respondent(s): Harold Hughes, Ignatius Desimone, James DeAlto, Peter Volino, Richard Misiano, Robert Akeson, Mirae Asset Securities (Usa) Inc.
Respondent Lawyers(s): Benjamin S. Kaminetzky
Arbitrator(s): Leslie Ruth Nydick, James Stanley Kozera, Peter E. Gillespie
Hearing Site: New York, NY
| | |
| 16-02257 | 09/22/2017 | Claimant(s): Karen Fogel, Ronald Fogel
Claimant Lawyers(s): Adam Gana
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Leslie Ruth Nydick
Hearing Site: New York, NY
| | Expungement |
| 15-00321 | 06/22/2017 | Claimant(s): David Murphy
Claimant Lawyers(s): John D. Singer
Respondent(s): Citigroup Global Markets., Citicorp Securities Services.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Linda S. Cole, Leslie Ruth Nydick, Anthony Dennis Perri
Hearing Site: New York, NY
| | |
| 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
| | |
| 15-02431 | 12/23/2016 | Claimant(s): Scott Pagano
Claimant Lawyers(s): Christine A. Palmieri
Respondent(s): GFI Securities LLC
Respondent Lawyers(s): Emily L. Milligan
Arbitrator(s): Leslie Ruth Nydick, John Nino Brenkovich, Amy Kaplan Eckman
Hearing Site: New York, NY
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