| 18-00548 | 02/24/2020 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew Shapren
Respondent(s): Jerald Slowik
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Kip C Lubcke, Madelyn A. Levy, David John Reilly
Hearing Site: New York, NY
| | |
| 17-02183 | 07/24/2019 | Claimant(s): Josephine Zanoni, Richard Zanoni, The Zanoni Family Trust
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey, Karl L. Marquardt
Arbitrator(s): Carole L. Green, David John Reilly, Mitchell Regenbogen
Hearing Site: New York, NY
|  | Expungement |
| 18-01731 | 01/08/2019 | Claimant(s): Phillip Michals
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): GunnAllen Financial
Respondent Lawyers(s): Deborah Anne Williams
Arbitrator(s): Alfonso George Figliolia, David John Reilly, Howard R. Reiss
Hearing Site: New York, NY
| | |
| 17-01371 | 03/30/2018 | Claimant(s): MD Salam
Claimant Lawyers(s): MD Imam Salam
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Joan L. Rosenstock
Arbitrator(s): Joseph R. Brancaleone, David John Reilly
Hearing Site: New York, NY
| | |
| 16-03371 | 12/22/2017 | Claimant(s): Fillip Gershon
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): David John Reilly
Hearing Site: New York, NY
| | |
| 15-02522 | 01/12/2017 | Claimant(s): Daniel Zraly
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Courtney S. Stieber
Arbitrator(s): Paul K. Barenholtz, David Serko, David John Reilly
Hearing Site: New York, NY
| | |
| 15-03357 | 10/27/2016 | Claimant(s): Mustafa Er
Claimant Lawyers(s): Mustafa M. Er
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey J. Kmoch
Arbitrator(s): Roger J. Hawke, Julian F. Santos, David John Reilly
Hearing Site: New York, NY
| | |
| 16-00531 | 10/24/2016 | Claimant(s): Anna Hostrop, William Rapp, Estate of Virginia Venable Rapp
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ariel Gursky
Arbitrator(s): Roger L Gavan, David John Reilly, Sara Kula
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 12-04065 | 06/20/2014 | Claimant(s): Michael O'Hare
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Andrew Totman, Newedge USA
Respondent Lawyers(s): Gary S. Prish
Arbitrator(s): Robert Pincus, Jeffrey Bega, David John Reilly
Hearing Site: New York, NY
| | |
| 11-04582 | 12/18/2013 | Claimant(s): Steven Oberdorfer
Claimant Lawyers(s): Aaron M. Goldsmith
Respondent(s): Ronald Moschetta, Strasbourger Pearson Tulcin Wolff Inc., Todd And Company.
Respondent Lawyers(s): Compliance Officer, Ronald Moschetta
Arbitrator(s): John Daly, Amy Y. Moy, David John Reilly
Hearing Site: New York, NY
| | $100,000 |
