| 16-02977 | 05/02/2017 | Claimant(s): Paul Boriello
Claimant Lawyers(s): Paul Boriello
Respondent(s): First Montauk Securities Corp.
Respondent Lawyers(s): Sarah Klein
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
|  | $0 |
| 14-03122 | 12/22/2016 | Claimant(s): Alastair Short
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Howard D. Jacob, John F. Duane, Clarence Smith
Hearing Site: New York, NY
| | Expungement |
| 13-03433 | 02/11/2015 | Claimant(s): Nicholas Cacace
Claimant Lawyers(s): Nicholas Cacace
Respondent(s): MetLife Securities Inc
Respondent Lawyers(s): Wendy J. Mellk
Arbitrator(s): Joseph A. Vallo, Kenneth L. Stewart, John F. Duane
Hearing Site: New York, NY
| | |
| 10-04970 | 11/14/2012 | Claimant(s): Ray Gatten
Claimant Lawyers(s): John G. Rich
Respondent(s): John Sadowski, Gatten Sadowski Inc.
Respondent Lawyers(s): David A. Shargel
Arbitrator(s): Donald J. Zoeller, Glen R. Stifelman, John F. Duane
Hearing Site: New York, NY
| | |
| 11-01866 | 12/21/2011 | Claimant(s): Zhenzhou Wang and Min Cao
Claimant Lawyers(s): Zhenzhou Wang
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Juli Aylesworth
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
| | $18,870 |
| 08-04585 | 08/06/2009 | Claimant(s): Harold Kozupsky, Jeanette Kozupsky, Harold and Jeanette Kozupsky, IRA, Harold Kozupsky and Jeanette Kozupsky
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): George Gladman, Ronald Slevin, RBC Dain Raucher
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): John F. Duane, Alvin Green, James D. Yellen
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 06-03048 | 12/24/2007 | Claimant(s): Adam Aspes, Catherine Lesterhuis, Curtis Thompson, Jacob Morton, Scott Hootman
Claimant Lawyers(s): Latanishia D. Watters
Respondent(s): Brian Foley, Daniel Joyce, Michael Braun, William Devin Jr., Moor & Cabot Inc., Sal Financial Services., d/b/a Ster, Sterne Agee Capital Markets., Sterne, Agee & Leach.
Respondent Lawyers(s): Latanishia D. Watters, Sander A. Rikleen
Arbitrator(s): Paul J. Camilleri, David Finnegan, John F. Duane
Hearing Site: New York, NY
| | |
