| 20-00714 | 09/17/2020 | Claimant(s): Christopher Scalese
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Summit Brokerage Services.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Anna Lascar
Hearing Site: New York, NY
| | |
| 20-00601 | 05/01/2020 | Claimant(s): Mark Kravietz
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Anna Lascar
Hearing Site: New York, NY
| | |
| 19-02083 | 02/26/2020 | Claimant(s): Timothy Cheriaparampil
Claimant Lawyers(s): Megan M. Christensen
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Allen Holeman
Arbitrator(s): Anna Lascar, Ronald Jay Horowitz, Andrew Morganstern
Hearing Site: New York, NY
| | |
| 19-00355 | 12/13/2019 | Claimant(s): Michael Fornasier
Claimant Lawyers(s): Michael John Fornasier
Respondent(s): MBSC Securities Corporation
Respondent Lawyers(s): James H. Forte
Arbitrator(s): Timothy P. Kebbe, Anna Lascar, James G Paulsen
Hearing Site: New York, NY
| | |
| 18-02418 | 11/15/2019 | Claimant(s): Steven Bender
Claimant Lawyers(s): Steven L. Bender
Respondent(s): Dominick & Dickerman LLC
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Keely D. Parr, Anna Lascar, John Warner Lowe
Hearing Site: New York, NY
|  | Dismissed by Rule 12206/12504 |
| 18-02489 | 05/01/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Denis O'Leary
Respondent Lawyers(s): Denis Patrick O'Leary
Arbitrator(s): Anna Lascar
Hearing Site: New York, NY
| | |
| 17-00801 | 04/16/2019 | Claimant(s): FSC Securities Corporation
Claimant Lawyers(s): Bradley Fishman
Respondent(s): Jordan Berlin
Respondent Lawyers(s): Christopher D. Warren
Arbitrator(s): Anna Lascar, Steven Gary Leventhal, Harvey E. Benjamin
Hearing Site: New York, NY
| | |
| 18-00022 | 01/30/2019 | Claimant(s): Stephen Caruso
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Carol Maria Luttati, Anna Lascar, George Bartos
Hearing Site: New York, NY
| | |
| 16-02323 | 12/19/2018 | Claimant(s): Robert Mulholland
Claimant Lawyers(s): John D. Singer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Eugene Scalia
Arbitrator(s): William H. Morley, Anna Lascar, Rebecca Ann Berlow
Hearing Site: New York, NY
| | |
| 17-00403 | 08/16/2018 | Claimant(s): Socrates Cruz
Claimant Lawyers(s): Howard R. Elisofon
Respondent(s): Morgan Stanley, Feliciano Fleita, Dytman Inc.
Respondent Lawyers(s): Jeremy S. Winer, Santos Michelena de la Cova
Arbitrator(s): Howard J. Stiefel, Nunzio Garzino, Anna Lascar
Hearing Site: New York, NY
| | Expungement |
