| 21-00134 | 01/03/2022 | Claimant(s): Adoracion Estanislao
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Fidelity Brokerage Services LLC, Steven Boschert
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Martin Mushkin, Charles F. Titterton, Howard Alan Grinsberg
Hearing Site: New York, NY
|  | $0 |
| 20-01731 | 12/06/2021 | Claimant(s): Livingston Asset Management LLC, Oscaleta Partners LLC, Queenston Partners LP, Trillium Partners LP
Claimant Lawyers(s): Steven Hicks
Respondent(s): Charles Lek, David Weiniger, Michael Mainwald, Ramute Zukas, Samuel Lek, Lek Securities Corporation
Respondent Lawyers(s): Adam M. Felsenstein
Arbitrator(s): Peter A. Goldman, Martin Mushkin, Edmund Timothy Donovan
Hearing Site: New York, NY
| | $0 |
| 17-00761 | 06/21/2018 | Claimant(s): Michael Luftman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): 1717 Capital Management Company, Metropolitan Life Insurance Company
Respondent Lawyers(s): Christopher C. Coss, Joseph J. Prochaska
Arbitrator(s): Martin Mushkin
Hearing Site: New York, NY
| | |
| 17-02299 | 04/13/2018 | Claimant(s): Sigvard Heurlin
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Stephen Grivas, Obsidian Financial Group
Respondent Lawyers(s): John Telfer, Stephen Grivas
Arbitrator(s): Martin Mushkin
Hearing Site: New York, NY
| | $154,891 |
| 14-02793 | 06/23/2015 | Claimant(s): Marx Bowens
Claimant Lawyers(s): Joseph D. Garrison
Respondent(s): CRT Capital Group LLC
Respondent Lawyers(s): Mark W. Lerner
Arbitrator(s): Martin Mushkin, William T. Brice, Philip S. Walker
Hearing Site: Hartford, CT
| | |
| 13-01575 | 02/26/2014 | Claimant(s): Michael Santilli
Claimant Lawyers(s): Michael Santilli
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Martin Mushkin
Hearing Site: Hartford, CT
| | $3,019 |
| 09-02897 | 01/11/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Brian Walsh, Stifel, Nicolaus & Co.., Kevin Healy
Respondent Lawyers(s): Andrew J. Shapren
Arbitrator(s): Martin Mushkin, Cheryl Feldman, Joseph R. Sahid
Hearing Site: New York, NY
| | |
| 10-03879 | 11/08/2011 | Claimant(s): Martin Kupferberg and Dora Kupferberg
Claimant Lawyers(s): Timothy Feil
Respondent(s): Edward Scro, Alternative Wealth Strategies., Seniors Resource
Respondent Lawyers(s): Edward Scro, James C. Gaul
Arbitrator(s): Martin Mushkin, Mark Hammaren, John Michael Richardson
Hearing Site: New York, NY
| | $70,300 |
| 09-04104 | 07/30/2010 | Claimant(s): Rome Arnold
Claimant Lawyers(s): Michael G. Berger
Respondent(s): Bank of America Securities
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Martin Mushkin, Thomas E. Mehrtens, Stephanie Tereasa Failla
Hearing Site: New York, NY
| | |
| 09-04892 | 02/11/2010 | Claimant(s): Xiqiang Li
Claimant Lawyers(s): Angelo D. Tartaro
Respondent(s): Pali Capital.
Respondent Lawyers(s): Mitchell Baruchowitz
Arbitrator(s): Martin Mushkin
Hearing Site: New York, NY
| | |
