| 18-00586 | 05/18/2018 | Claimant(s): AXA Advisors, AXA Network LLC
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Abdul Chowdhury
Respondent Lawyers(s): Abdul H. Chowdhury
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
| 17-01549 | 04/26/2018 | Claimant(s): Peter Marketos
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Oppenheimer & Co.., Raymond, James & Associates.
Respondent Lawyers(s): John T. McGuire, Robert M. Rudnicki
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
| 16-02324 | 04/04/2018 | Claimant(s): Robert J. Litsky & Michael Litsky TTEES
Claimant Lawyers(s): Michael C. Farkas
Respondent(s): The GMS Group
Respondent Lawyers(s): David W. Schmidt
Arbitrator(s): Joseph J. Arata, Paul Bennett Marrow, Barry Stephen Spector
Hearing Site: New York, NY
|  | Expungement |
| 17-02313 | 12/28/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Jonathan Lake
Respondent Lawyers(s): Jonathan Richard Lake
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
| 16-02191 | 12/12/2017 | Claimant(s): Elaine Nester
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | Expungement |
| 16-01976 | 07/28/2017 | Claimant(s): William Taylor
Claimant Lawyers(s): Daniel F. Markham
Respondent(s): SG Americas Securities
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Joseph J. Arata, Sam Antar, Susan Romano
Hearing Site: New York, NY
| | |
| 17-00796 | 07/05/2017 | Claimant(s): Karen Kurrasch
Claimant Lawyers(s): David Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vallono
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
| 17-00433 | 05/26/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Joseph Casella
Respondent Lawyers(s): Joseph Casella
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
| 16-00844 | 01/03/2017 | Claimant(s): Robert Shkreli
Claimant Lawyers(s): Hendrick Vandamme
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Frederic L. Lieberman
Arbitrator(s): Joseph J. Arata, Kevin F. Cuddihy, Brooks White
Hearing Site: New York, NY
| | |
| 16-00300 | 05/18/2016 | Claimant(s): Garden State Securities.
Claimant Lawyers(s): Steven Trigili
Respondent(s): Jason Diaz
Respondent Lawyers(s): Jason Robert Diaz
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
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