| 19-03022 | 07/24/2020 | Claimant(s): Daniel Dvorznak
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp., J.D. Nicholas & Associates.
Respondent Lawyers(s): James Dolan, Timothy Treble
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
| | |
| 19-00200 | 02/06/2020 | Claimant(s): Christopher Moran
Claimant Lawyers(s): Edward Cerasia
Respondent(s): Phillip Michals, Raffaele Gambardella, Robert Eide, Aegis Capital Corp.
Respondent Lawyers(s): Chris Lazarini, Iciss Tillise
Arbitrator(s): Francis Carling, Michael Davies, Elise I. Strauss
Hearing Site: New York, NY
| | |
| 19-01331 | 01/22/2020 | Claimant(s): Jean-Matthieu Josse
Claimant Lawyers(s): Gregg J Breitbart
Respondent(s): A.G.P. / Alliance Global Partners, Aegis Capital Corp.
Respondent Lawyers(s): John Hitchings, Robert H. Decker
Arbitrator(s): Dan Brecher
Hearing Site: New York, NY
| | |
| 19-01408 | 12/05/2019 | Claimant(s): Joseph Cordi
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Tony Naccarelli
Arbitrator(s): Mary Lou McGanney
Hearing Site: New York, NY
| | |
| 19-00006 | 10/11/2019 | Claimant(s): Khaled Nasseri
Claimant Lawyers(s): Khaled H. Nasseri
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Arthur Neil Tolciss
Hearing Site: New York, NY
| | |
| 18-03717 | 05/23/2019 | Claimant(s): Paul Garber
Claimant Lawyers(s): Hilton Wiener
Respondent(s): James Schwartz, Aegis Capital Corp.
Respondent Lawyers(s): James Bradley Schwartz, Michael P. Gilmore
Arbitrator(s): Richard W. Dissen
Hearing Site: Augusta, ME
|  | $300 |
| 18-02936 | 05/22/2019 | Claimant(s): Nick Son
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): GunnAllen Financial, Aegis Capital Corp., State Capital Markets Corporation
Respondent Lawyers(s): Deborah Anne Williams, Gregg J. Bretibart, John Doukas
Arbitrator(s): Arthur Neil Tolciss
Hearing Site: New York, NY
| | |
| 18-02731 | 04/12/2019 | Claimant(s): Adam Stern
Claimant Lawyers(s): Gregg J Breitbart
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): A. R. John Hitchings
Arbitrator(s): Amy Jill Baranoff
Hearing Site: New York, NY
| | |
| 16-01544 | 02/12/2019 | Claimant(s): Michael Cohen
Claimant Lawyers(s): Scott M. Behren
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Barry Temkin
Arbitrator(s): Daniel H. Yaffe, Monroe Mitchel, Ronald Stephen Lieberman
Hearing Site: Boca Raton, FL
| | |
| 17-01664 | 07/16/2018 | Claimant(s): Anna Wilczynski, Anna U. Wilczynski Liviing Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Aegis Capital Corp., Capitol Securities Management.
Respondent Lawyers(s): Gary A. Varnavides, Janet K. DeCosta
Arbitrator(s): David Paul Clark, Patricia H. Latham, Keith Daniel Greenberg
Hearing Site: Washington, DC
| | Dismissed by Rule 12206 |
