| 23-01535 | 04/24/2024 | Claimant(s): Stephen Ferencik
Claimant Lawyers(s): Michael Kalmus
Respondent(s): Morgan Stanley DW Inc., Triad Advisors LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Brandy Fernandez, Greg Curley, John Murphy
Arbitrator(s): Jeffrey Alperin, Christopher R Carroll, Chanteasea Pyron Swain
Hearing Site: Atlanta, GA
| | |
| 15-01026 | 09/25/2015 | Claimant(s): Gilford Securities Incorporated
Claimant Lawyers(s): Michael Kalmus
Respondent(s): Peter Dubin
Respondent Lawyers(s): Peter David Dubin
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | |
| 12-01164 | 02/13/2015 | Claimant(s): Linda Stillman Trust
Claimant Lawyers(s): Raquel Kraus
Respondent(s): Jonathan Stillman, Gilford Securities Incorporated, Linda Stillman Trust
Respondent Lawyers(s): Jonathan Stillman, Michael Kalmus
Arbitrator(s): Robert S. Getman, Timothy P. Kebbe, William H. Morley
Hearing Site: New York, NY
|  | Settlement |
| 13-01895 | 09/24/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Evan Sall
Respondent Lawyers(s): Michael Kalmus
Arbitrator(s): David E. Robbins, Howard L. Sobel, Carole R. Bernstein
Hearing Site: New York, NY
| | |
| 11-01506 | 11/21/2012 | Claimant(s): Helen D. Ross, FBO IRA, Ronald J. Ross, MD FBO IRA
Claimant Lawyers(s): Michael Kalmus
Respondent(s): Christopher Prassas, Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Ellen Sessions
Arbitrator(s): Stan West, Michael J. Quarequio, David Gerber
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-06263 | 05/26/2011 | Claimant(s): Earle Ray
Claimant Lawyers(s): Joshua N. Cook
Respondent(s): Jeffrey Schrader, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Marissa Parker, Michael Kalmus
Arbitrator(s): Gerard S. Marsan, Maxwell J. Mahoney, Paul Peter Nicolai
Hearing Site: Boston, MA
| | Expungement |
| 08-04709 | 05/06/2010 | Claimant(s): Roger Gimbel
Claimant Lawyers(s): Arthur M. Handler
Respondent(s): Stephen Degroat, Jesup & Lamont Securities Corp
Respondent Lawyers(s): Michael Kalmus, Todd Zuckerbrod
Arbitrator(s): Susan C. Lushing, John B. Sprung, James M. Rhodes
Hearing Site: New York, NY
| | $0 |
| 08-04107 | 04/05/2010 | Claimant(s): Alan Wein, Noele Wein, Nolan Services.
Claimant Lawyers(s): Michael B. Dubin
Respondent(s): Jeffrey Schrader, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano, Michael Kalmus
Arbitrator(s): Steven T. Stern, Dale A. Pope, David B. Harwi
Hearing Site: Philadelphia, PA
| | Expungement |
| 07-01138 | 07/01/2008 | Claimant(s): Helen-Carolyn Ackerly
Claimant Lawyers(s): W. Alexander Melbardis
Respondent(s): Gilford Securities Incorporated
Respondent Lawyers(s): Michael Kalmus
Arbitrator(s): Joseph B. Russell, Kenneth L. Stewart, Joseph R. Brancaleone
Hearing Site: New York, NY
| | $58,000 |
| 07-01501 | 01/18/2008 | Claimant(s): Daniel Harris
Claimant Lawyers(s): Michael Kalmus
Respondent(s): Granite Securities
Respondent Lawyers(s): Douglas Didominica
Arbitrator(s): Mark D. Quinn
Hearing Site: New York, NY
| | |
