| 20-03390 | 12/30/2022 | Claimant(s): Thea DePaola
Claimant Lawyers(s): Robert Giacovas
Respondent(s): Peter DePaola, De Paola Trading.
Respondent Lawyers(s): Richard L. Herzfeld
Arbitrator(s): Joan Maxine Secofsky, Joseph J. Arata, Jay F. Frascella
Hearing Site: New York, NY
| | |
| 20-01986 | 02/09/2022 | Claimant(s): Michael Lyublinsky
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): NatWest Markets Securities Inc.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Joseph J. Arata, Harvey Barrison, Donald Davis Capelin
Hearing Site: New York, NY
| | |
| 18-01055 | 12/28/2021 | Claimant(s): Bennie Carmain, Gary Bridgers, John Daniels, John Eversgerd, Lawrence Clarke, Richard Myers, Russell Cascardo, Viktor Prozapas, AGS Underground, Tayskasi Oy, Ettinger Family Trust
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Kevin Harms, Yousuf Saljooki
Respondent Lawyers(s): Kevin Charles Harms, Yousuf Saljooki
Arbitrator(s): Joseph J. Arata, Rory M. McLaughlin, Jerome M Shafer
Hearing Site: New York, NY
|  | $792,117 |
| 19-02819 | 08/27/2021 | Claimant(s): Timothy Zeng
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Anna Matsuo
Arbitrator(s): Joseph J. Arata, Richard W. Cutler, Bertrand Charles Sellier
Hearing Site: New York, NY
| | |
| 19-02858 | 06/15/2021 | Claimant(s): Barney Greengrass
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Joseph J. Arata, Nicholas J. Donohue, James M. Rhodes
Hearing Site: New York, NY
| | |
| 17-03028 | 03/14/2019 | Claimant(s): Michael Liciardello
Claimant Lawyers(s): Michael M. Liciardello
Respondent(s): Newedge USA LLC
Respondent Lawyers(s): Stacie R. Hartman
Arbitrator(s): Joseph J. Arata, William G. Binckes, Charles L. Henderson
Hearing Site: New York, NY
| | |
| 14-03749 | 03/13/2019 | Claimant(s): Marcus Salouk
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Mark Miranda, Qi Huang, Robert Ciaccio, Rory Powell, Stephen Grivas, Obsidian Financial Group
Respondent Lawyers(s): Kevin Sharma, Mark Andrew Miranda, Michael P. Gilmore, Qi Huang, Stephen Grivas
Arbitrator(s): Joseph J. Arata, Jeffrey P. Bachmann, Ronald Harris Kisner
Hearing Site: New York, NY
| | $0 |
| 15-02634 | 03/01/2019 | Claimant(s): Gordon Dootson
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Stephen Grivas, Obsidian Financial Group
Respondent Lawyers(s): Kevin Sharma, Stephen Grivas
Arbitrator(s): Joseph J. Arata, David S. Billet, Annamaria Boccia Smith
Hearing Site: New York, NY
| | $160,153 |
| 18-00657 | 12/10/2018 | Claimant(s): Thomas Kelly
Claimant Lawyers(s): Michael Bessette
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
| 15-00030 | 05/18/2018 | Claimant(s): Francis Mitchell
Claimant Lawyers(s): Gerald S. Berkowitz
Respondent(s): Charles Reiling, Matthew Rakerd, Coastal Equities.
Respondent Lawyers(s): Charles S. Fax
Arbitrator(s): Joseph J. Arata, Thomas Michael Gandolfo, Jason Scott Eveleth
Hearing Site: New York, NY
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