| 17-02774 | 02/20/2019 | Claimant(s): Dennis Francy
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Alexander Gorchakov, Nelson Felix, Wilfredo Felix, Primex
Respondent Lawyers(s): Alexander Gorchakov, Michael D. Handelsman
Arbitrator(s): Richard E. Lauziere, Ezio Borchini, John James McGovern
Hearing Site: Baltimore, MD
|  | $72,896 |
| 17-00006 | 12/13/2018 | Claimant(s): Arthur Puglia
Claimant Lawyers(s): Arthur R. Puglia
Respondent(s): Bao Nguyen, Gregory Melendez, William Karvecky, Pecunia Management
Respondent Lawyers(s): Bao Quoc Nguyen, John E. Lawlor, Michael D. Handelsman, Michael P. Gilmore
Arbitrator(s): Elliot B. Platt
Hearing Site: Philadelphia, PA
| | Expungement |
| 17-01550 | 08/28/2018 | Claimant(s): Kimberly Ambrosio, Luigi Ambrosio, Rose Marie Ambrosio
Claimant Lawyers(s): David J. Sutton
Respondent(s): Ladenburg Thalmann & Co. Inc., Ladenburg Thalmann Asset Management
Respondent Lawyers(s): Michael D. Handelsman
Arbitrator(s): Dan Brecher, Roy Lukins Rowsell, Gerald M. Levine
Hearing Site: New York, NY
| | Expungement |
| 15-03454 | 07/17/2018 | Claimant(s): Market Bridge Capital Global Macro
Claimant Lawyers(s): Robert Miller
Respondent(s): Ladenburg Thalmann & Co. Inc.
Respondent Lawyers(s): Michael D. Handelsman
Arbitrator(s): Joan Marie Chiusano, Joseph I. Liebman, Sandra Holtzman
Hearing Site: New York, NY
| | $0 |
| 16-00972 | 09/25/2017 | Claimant(s): John Patterson, Stella Patterson, John Patterson and Stella Patterson
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Ladenburg Thalmann & Co. Inc.
Respondent Lawyers(s): Michael D. Handelsman
Arbitrator(s): Gordon M. Wase, Kathleen K. Murphy, John James McGovern
Hearing Site: Philadelphia, PA
| | $358,200 |
| 15-01033 | 09/21/2016 | Claimant(s): Kent Hale, Kent Hale IRA
Claimant Lawyers(s): H. Grady Terrill
Respondent(s): Robert Yasnis, Buckman, Buckman & Reid.
Respondent Lawyers(s): Lawrence R. Gelber, Michael D. Handelsman
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
| | $0 |
| 15-00707 | 04/08/2016 | Claimant(s): Estate of Florence Levine
Claimant Lawyers(s): Michael D. Handelsman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): John A. Scudiero, Robert S. Getman, Michael F. Greco
Hearing Site: Newark, NJ
| | Dismissed by Rule 12504 |
| 14-01704 | 09/18/2015 | Claimant(s): Buckman, Buckman & Reid.
Claimant Lawyers(s): Michael D. Handelsman
Respondent(s): Apex Clearing Corporation
Respondent Lawyers(s): Robert W. Hamburg
Arbitrator(s): Alan James Jacoby, Theodore Moreines, Brian A. Carlis
Hearing Site: Newark, NJ
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