| 20-00159 | 12/19/2022 | Claimant(s): William Barkow
Claimant Lawyers(s): Richard Roth
Respondent(s): Joseph Alagna, Stephan Stein, Joseph Gunnar & Co. LLC
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Daniel Robbins, Peter McClellan Wright, Vivian Rivera Drohan
Hearing Site: New York, NY
| | |
| 20-01200 | 02/11/2022 | Claimant(s): Frank Petrosino, James Salter
Claimant Lawyers(s): Lainie E. Cohen
Respondent(s): Paulson Investment Company, Joseph Hain, Timothy Touloukian
Respondent Lawyers(s): Richard Roth, Steven C. Berman, Todd A. Zuckerbrod
Arbitrator(s): Leon Fox, Dianne Marie Onichimowski, William James Shimanek
Hearing Site: Chicago, IL
|  | Expungement |
| 20-00151 | 01/25/2022 | Claimant(s): Joseph Gunnar & Co. LLC
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Brandon Pflaum, Cesar Pozo, Worden Capital Management LLC, Joseph Alagna, Matthew Gates, Miguel Cabarcas
Respondent Lawyers(s): John E. Lawlor, Richard Roth
Arbitrator(s): Ilene Barbara Zatkin-Butler, Paul C. Kurland, Jeanne M. Keefe
Hearing Site: New York, NY
| | |
| 16-03665 | 09/13/2019 | Claimant(s): Gerald Sharpe
Claimant Lawyers(s): John E. Lawlor
Respondent(s): David Levine, David Rich, Glenn Worman, National Securities Corporation, Robert Fagenson
Respondent Lawyers(s): Richard Roth
Arbitrator(s): Robert J. McDonnell, Marvin L. Schuldiner, Paul G. Garjian
Hearing Site: Newark, NJ
| | |
| 10-00813 | 12/06/2012 | Claimant(s): Aaron Segal, David Landskowsky, Eric Rubenstein, Scott Cardone, Timothy Herrmann, Todd Harrigan
Claimant Lawyers(s): Richard Roth, Ross Carmell
Respondent(s): Byron Crowe, Dwight Badger, Keith Daubenspeck, Advanced Equities.
Respondent Lawyers(s): Howard Elisofon
Arbitrator(s): Stewart E. Winner, Susan Y. Chin, W. Alexander Melbardis
Hearing Site: New York, NY
| | |
| 07-02751 | 03/16/2009 | Claimant(s): Santiago Reyes, Mateo Holdings Inc.
Claimant Lawyers(s): Mark F. Raymond
Respondent(s): Spencer Trask Ventures.
Respondent Lawyers(s): Richard Roth
Arbitrator(s): Sanford M. Naiditch, Jonathan E. Perlman, Daniel P. Lund
Hearing Site: Miami, FL
| | $100,000 |
