| 18-03295 | 05/03/2019 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Vy Truong
Respondent Lawyers(s): Vy Truong
Arbitrator(s): Kenneth Paul Williams, Alan Gradzki, Harrison Johnson
Hearing Site: New York, NY
| | |
| 14-02624 | 04/01/2016 | Claimant(s): International Fidelity Insurance Company
Claimant Lawyers(s): Julius A. Rousseau
Respondent(s): Francis Mitterhoff, Charles Schwab & Co.., Maria Costa, Vincent Leonetti, Vincent Riccordella
Respondent Lawyers(s): Gilbert R. Serota, Julius A. Rousseau, Lawrence Cohen
Arbitrator(s): Louis H. Miron, Alan Gradzki, Joan Dawn Hogarth
Hearing Site: Newark, NJ
|  | $0 |
| 14-03340 | 07/15/2015 | Claimant(s): Anthony Caggiano
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Lise Gabrielle Hunter, Roger L Gavan, Alan Gradzki
Hearing Site: New York, NY
| | Expungement |
| 14-00586 | 10/03/2014 | Claimant(s): Bill Tsevdos
Claimant Lawyers(s): Bill S. Tsevdos
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Robert A. Kaiser
Arbitrator(s): James M. Rhodes, Alan Gradzki, Robert Elliot Harrison
Hearing Site: New York, NY
| | |
| 10-04743 | 02/06/2013 | Claimant(s): Schultze Asset Management, Schultze Master Fund, Ltd
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Sandra Gale Behrle, David I. Goldblatt, Alan Gradzki
Hearing Site: New York, NY
| | $0 |
| 10-05354 | 12/15/2011 | Claimant(s): Michael Subrizi
Claimant Lawyers(s): Michael Subrizi
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Alun W. Griffiths
Arbitrator(s): Elizabeth Gilbert, Ellyn S. Roth, Alan Gradzki
Hearing Site: New York, NY
| | |
| 09-03681 | 10/08/2010 | Claimant(s): Shanawaz Basith
Claimant Lawyers(s): Catherine E. Anderson
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Frederic L. Lieberman
Arbitrator(s): Marilyn J. Salzman, Peter A. Goldman, Alan Gradzki
Hearing Site: New York, NY
| | |
| 07-02316 | 05/26/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Steven G. Leventhal
Respondent(s): Azam Baroukhiam
Respondent Lawyers(s): Azam F. Baroukhiam
Arbitrator(s): Aaron Friedman, Martin A. Edelstein, Alan Gradzki
Hearing Site: New York, NY
| | $27,900 |
