| 19-02883 | 08/14/2020 | Claimant(s): Thomas Grimm
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Allied Millennial Partners
Respondent Lawyers(s): John Parmigiani
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
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| 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
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| 19-03021 | 07/20/2020 | Claimant(s): James Dolan
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Trident Partners Ltd.
Respondent Lawyers(s): Nicholas Scavone
Arbitrator(s): Steven C. Kasarda
Hearing Site: New York, NY
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| 19-00563 | 02/06/2020 | Claimant(s): Anthony Sica
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Prudential Securities, Shearson Lehman Brothers Inc. (Puerto Ri
Respondent Lawyers(s): Alan S. Brodherson, Joseph A. Del Duca
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
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| 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
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| 19-00660 | 10/11/2019 | Claimant(s): Bryan Cummings
Claimant Lawyers(s): Irwin Weltz
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Christine M. Fitzgerald
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
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| 19-00678 | 10/11/2019 | Claimant(s): Michael Gimeli
Claimant Lawyers(s): Irwin Weltz
Respondent(s): GunnAllen Financial, First Cambridge Securities Corporation, First Midwest Securities., Investec Ernst & Company
Respondent Lawyers(s): Deborah Ann Williams, Kelly Sutton, Stanley R. Goldstein, Stephen M. Medow
Arbitrator(s): Cheryl H. Agris
Hearing Site: New York, NY
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| 18-03952 | 09/30/2019 | Claimant(s): Beech Hill Securities.
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Michael Fontaine, William Buchanan, CIM Securities
Respondent Lawyers(s): Daniel Gildin
Arbitrator(s): Ronnie Steinkoler, Paul C. Tang, Albert Rizzo
Hearing Site: New York, NY
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| 18-01073 | 08/29/2019 | Claimant(s): Sean Stewart
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Daniel Dvorznak, Nicholas Tsikitas, J.D. Nicholas & Associates.
Respondent Lawyers(s): Irwin Weltz, James Dolan
Arbitrator(s): Richard H. Potter, Susan L. Luck, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
|  | Settlement |
| 18-03265 | 05/30/2019 | Claimant(s): Ronald Cole
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Morgan Stanley, J.P. Morgan Securities
Respondent Lawyers(s): Jeremy S. Winer, Thomas J. Cahill
Arbitrator(s): Jill Pilgrim
Hearing Site: New York, NY
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