| 22-00430 | 05/13/2024 | Claimant(s): Mark Carter
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Dennis Poulos, Eric Deems, Gerard Rocchi, Mark Madgett, NYLife Securities LLC, Vincent Spaniolo
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Robert L. Altizer, Sandra Franklin, Mark Leslie Small
Hearing Site: Detroit, MI
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| 21-00180 | 03/22/2022 | Claimant(s): Clayton Shum
Claimant Lawyers(s): Harris Freedman
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
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| 18-00727 | 10/03/2018 | Claimant(s): Kevin Peterson
Claimant Lawyers(s): John A Bender
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Philip E. Cutler
Hearing Site: Seattle, WA
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| 16-01561 | 01/29/2018 | Claimant(s): Thomas Howes
Claimant Lawyers(s): Thomas W. Howes
Respondent(s): NYLife Securities LLC, Christopher Cuneo, Daniel Frazier, David Ponder, James Robertson, Joseph Lapietra, Noel Kellert, Pragnesh Bhatt, Satchie Carvounis, Scott Potoma, Scotty Reedy, New York Life Insurance Company
Respondent Lawyers(s): Brandon J. Brigham, Jeffrey A. Sturgeon
Arbitrator(s): Evelyn D. Pisegna-Cook, Olivia Milbank Farrar, Valencia Renae Rainey
Hearing Site: Washington, DC
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| 17-01153 | 10/09/2017 | Claimant(s): David Coult
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Donald S. Bauman
Hearing Site: Philadelphia, PA
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| 17-00207 | 09/28/2017 | Claimant(s): Bradley Burton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Olivia Milbank Farrar
Hearing Site: Washington, DC
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| 15-01393 | 04/08/2016 | Claimant(s): Amr Aboulmagd
Claimant Lawyers(s): Amr Mostafa Aboulmagd
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Patrick R. Westerkamp, Esq.
Hearing Site: Philadelphia, PA
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| 12-03040 | 12/24/2013 | Claimant(s): Marcus Hernandez
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Peter A. Scarpato
Hearing Site: Philadelphia, PA
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