| 21-00392 | 09/03/2021 | Claimant(s): Adam Gross
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Joseph F. Kelley, David J. Weisenfeld, Peter E. Gillespie
Hearing Site: New York, NY
| | |
| 19-03286 | 04/12/2021 | Claimant(s): Arun Virick, Michael Fishman, Nazim Lokhandwala, Steven Rothstein, Tom Nolan, Veronica Marano, Entrust Group Inc FBO David W Rackiewicz, Provident Trust Group LLC FBO Eran Cohen, Cushman Family Trust, Terran Holding Company
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Larry Cohen
Respondent Lawyers(s): Robert I. Rabinowitz
Arbitrator(s): Thomas D. Giordano, Ira A. Auerbach, David J. Weisenfeld
Hearing Site: New York, NY
|  | Expungement |
| 17-00714 | 06/28/2018 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Eliza A. Kaiser
Respondent(s): John Huwiler, Pierre Guerin
Respondent Lawyers(s): Eliza A. Kaiser, Lawrence M. Pearson
Arbitrator(s): Harvey Barrison, David J. Weisenfeld, Nicholas R. Weiskopf
Hearing Site: New York, NY
| | |
| 16-00665 | 09/13/2016 | Claimant(s): Marguerite Cuocolo, Robert Cuocolo
Claimant Lawyers(s): Robert Cuocolo
Respondent(s): J.P. Morgan Securities, Peter Ferriello
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): David J. Weisenfeld
Hearing Site: New York, NY
| | $600 |
| 14-01662 | 06/16/2016 | Claimant(s): Ronald Curtis, Stuart Curtis Family Trust
Claimant Lawyers(s): David E. Robbins
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Francis J. LaSalla, David J. Weisenfeld, Cirino M. Bruno
Hearing Site: New York, NY
| | $352,815 |
| 14-02150 | 12/30/2015 | Claimant(s): Gregory Martino
Claimant Lawyers(s): Philip M. Halpern
Respondent(s): Charles Reiling, Francis Mitchell, Michael Donnelly, Coastal Equities.
Respondent Lawyers(s): Dana S. Gloor, Daniel J. Donovan, Francis G. Mitchell
Arbitrator(s): Henry F. Minnerop, Alice E. Winkler, David J. Weisenfeld
Hearing Site: New York, NY
| | |
| 13-02035 | 06/17/2015 | Claimant(s): Julia Numair
Claimant Lawyers(s): John D. Singer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Mary A. Dubas, James M. Rhodes, David J. Weisenfeld
Hearing Site: New York, NY
| | |
| 11-03815 | 03/27/2015 | Claimant(s): Walrus Master Fund Limited
Claimant Lawyers(s): Michael S. Schlesinger
Respondent(s): Goldman, Sachs and Company, Goldman Sachs Execution & Clearing, L.P.
Respondent Lawyers(s): Eric A. Bensky
Arbitrator(s): Boyd H. Scheff, Jean C. Black, David J. Weisenfeld
Hearing Site: New York, NY
| | $0 |
| 13-03703 | 02/04/2015 | Claimant(s): Adeola Palmer
Claimant Lawyers(s): Brittany Weiner
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Leni D. Battaglia
Arbitrator(s): Julian F. Santos, Irwin Pronin, David J. Weisenfeld
Hearing Site: New York, NY
| | |
| 13-00518 | 01/26/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): David Hanford, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James A. Saville, Louis M. Lagalante
Arbitrator(s): Bernard M. Levine, Michael L. Moran, David J. Weisenfeld
Hearing Site: New York, NY
| | |
