| 19-02184 | 11/22/2021 | Claimant(s): Christopher Landon
Claimant Lawyers(s): Kevin Thomas Hoffman
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Peter E. Gillespie, Harvey E. Benjamin, Judith C. Aarons
Hearing Site: New York, NY
| | |
| 21-01578 | 11/19/2021 | Claimant(s): Cobra Trading.
Claimant Lawyers(s): Chadd Hessing
Respondent(s): Helio Oliveira, Oliveira Sousa LLC
Respondent Lawyers(s): Corporate Office, Helio Oliveira
Arbitrator(s): Peter E. Gillespie
Hearing Site: Hartford, CT
|  | $0 |
| 21-01338 | 09/28/2021 | Claimant(s): David Bunin
Claimant Lawyers(s): Cynthia R. Moulton
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Peter E. Gillespie
Hearing Site: New York, NY
| | |
| 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
| | |
| 20-01929 | 03/02/2021 | Claimant(s): James Lombardo
Claimant Lawyers(s): James E. Heavey
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Brian John Gallagher, Peter E. Gillespie, Steven Gargiulo
Hearing Site: New York, NY
| | |
| 18-03984 | 12/04/2020 | Claimant(s): Larry Schmalz, Robin Schmalz
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): David Spratt, Joseph Amato, Kujtim Lulani, Michael Castillero, Rocco Guidicipietro, Thomas Sullivan, Alexander Capital, L.P.
Respondent Lawyers(s): Lawrence R. Gelber, Scott Holcomb
Arbitrator(s): Royce Russell, Gerald M. Levine, Peter E. Gillespie
Hearing Site: New York, NY
| | Settlement |
| 17-02304 | 05/12/2020 | Claimant(s): Angelina J. Cuccaro Family Trust
Claimant Lawyers(s): Stephen Studer
Respondent(s): Paul Steffany, Raymond, James & Associates.
Respondent Lawyers(s): George D. Sullivan, Paul Anthony Steffany
Arbitrator(s): Lewis S. Kurlantzick, Robert L. Chase, Peter E. Gillespie
Hearing Site: Hartford, CT
| | Settlement |
| 18-04034 | 01/30/2020 | Claimant(s): Francois-Xavier Rouffiac
Claimant Lawyers(s): Jonathan Sack
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Sandra J. Mullings, Geoffrey M. Elkind, Peter E. Gillespie
Hearing Site: New York, NY
| | |
| 19-00059 | 01/28/2020 | Claimant(s): Edwin Jolly
Claimant Lawyers(s): David L. Griffith
Respondent(s): Jeff LaFave, Joan Tucker-White, Voya Financial Advisors.
Respondent Lawyers(s): Andrew D. O'Toole, Joseph M. Porto
Arbitrator(s): Peter E. Gillespie, Dean Alan Schachter, David Adams Reif
Hearing Site: Hartford, CT
| | |
| 18-02285 | 10/23/2019 | Claimant(s): John Juergens
Claimant Lawyers(s): Michael A. Zamat
Respondent(s): Mutual Of Omaha Investor Services.
Respondent Lawyers(s): Patrick B. Griffin
Arbitrator(s): Elizabeth Gilbert, Peter E. Gillespie, Michael Andrew Rollin
Hearing Site: New York, NY
| | |
