| 23-01317 | 06/25/2024 | Claimant(s): Estate of Lynn A. Ryan
Claimant Lawyers(s): Mildred C. Ryan
Respondent(s): Derek Visslailli, TD Ameritrade.
Respondent Lawyers(s): Derek Visslailli, Frank J. Cuccio
Arbitrator(s): Robert Elliot Harrison, Roy Lukins Rowsell, John Michael Bergin
Hearing Site: New York, NY
|  | $0 |
| 23-02684 | 06/17/2024 | Claimant(s): Jacob Solomon
Claimant Lawyers(s): Alex Padla
Respondent(s): New England Securities Corporation
Respondent Lawyers(s): Martin Harris
Arbitrator(s): William A. Rome, John Michael Bergin, David Stein
Hearing Site: New York, NY
| | |
| 23-02043 | 01/26/2024 | Claimant(s): Charles Teixeira
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): John Michael Bergin
Hearing Site: New York, NY
| | |
| 20-00885 | 12/28/2022 | Claimant(s): Jason Goodhue
Claimant Lawyers(s): Michael T. McCormack
Respondent(s): Christopher Berris, Buell Securities Corp.
Respondent Lawyers(s): Richard Slavin
Arbitrator(s): John J. Mager, Benjamin H. Green, John Michael Bergin
Hearing Site: Hartford, CT
| | |
| 20-01036 | 01/19/2022 | Claimant(s): Johnny Rodriguez
Claimant Lawyers(s): Robert Brian Volynsky
Respondent(s): LPL Financial LLC, Dawn West
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Peter A. Goldman, Peter A. Seibel, John Michael Bergin
Hearing Site: New York, NY
| | Expungement |
| 20-02404 | 08/26/2021 | Claimant(s): Levant Bishop
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Dalton Kent Securities Group.
Respondent Lawyers(s): Edward Olson
Arbitrator(s): John Michael Bergin
Hearing Site: New York, NY
| | |
| 20-03360 | 02/03/2021 | Claimant(s): Gary Mass
Claimant Lawyers(s): Gary Mass
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): John Michael Bergin
Hearing Site: New York, NY
| | $0 |
| 17-01986 | 02/04/2019 | Claimant(s): Nebo Investment Fund LP
Claimant Lawyers(s): Sandra Lahens
Respondent(s): Jefferies LLC
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): David S. Billet, Donald Nevin Gershuny, John Michael Bergin
Hearing Site: New York, NY
| | $0 |
| 14-00278 | 12/05/2018 | Claimant(s): Christopher Tisi
Claimant Lawyers(s): John D. Singer
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Martin Jay Siegel, Sherri L. Hughes, John Michael Bergin
Hearing Site: New York, NY
| | |
| 14-03249 | 07/19/2018 | Claimant(s): Prime Properties of NY 1.
Claimant Lawyers(s): Kenneth B. Schwartz
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): David S. Richan
Arbitrator(s): Louis P. Wagman, Paul C. Tang, John Michael Bergin
Hearing Site: New York, NY
| | $0 |
