| 22-00090 | 08/29/2024 | Claimant(s): International Assets Advisory, International Assets Investment Mgmt LLC
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Jacob Jansen
Respondent Lawyers(s): Joseph B. Alonso
Arbitrator(s): Michael J. Meeusen, Thomas J. Gmeinder, James Martell Martin
Hearing Site: Minneapolis, MN
| | |
| 23-02727 | 07/10/2024 | Claimant(s): Aaron Clark
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Cherie S. Lewis
Hearing Site: Los Angeles, CA
| | |
| 23-03242 | 06/07/2024 | Claimant(s): Jennifer Malhotra, Vineet Malhotra
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Cindy L. Anderson
Hearing Site: Jacksonville, FL
|  | $0 |
| 22-01905 | 07/14/2023 | Claimant(s): Emilio Disanluciano
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): J. P. Turner & Company LLC, Felix Investments LLC, Sands Brothers & Co., Ltd.
Respondent Lawyers(s): David Feldstein, Gail Fanelli, John V. Bivona
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
| | |
| 21-03093 | 06/23/2022 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jeanette E. Dennis
Respondent(s): Leo Vassallo
Respondent Lawyers(s): Joshua A. Katz
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Syracuse, NY
| | |
| 20-00205 | 06/23/2022 | Claimant(s): John Williams, Sorine Williams
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Kevin McNeil
Respondent Lawyers(s): Kevin M McNeil
Arbitrator(s): John B. Sochacki, Thomas Fred Meyer, Danielle Dudai
Hearing Site: Boca Raton, FL
| | $15,000 |
| 18-02918 | 03/15/2022 | Claimant(s): Donald & Marjorie Lavin Trust
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Jon Broadbent, Pamela Lawson, Robert Lawson, Lawson Financial Corporation
Respondent Lawyers(s): Andrew L. Sparks, Jon David Broadbent
Arbitrator(s): Kimberly A. Gilmour, John B. Sochacki, Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | $443,114 |
| 20-01434 | 08/16/2021 | Claimant(s): Harriet Zisman Trust DTD 12/23/1997
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Nicola Murphy
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-03219 | 04/23/2021 | Claimant(s): Benjamin Matheson
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): JCC Capital Markets
Respondent Lawyers(s): Mark Atchity
Arbitrator(s): Nicole T. LeBoeuf
Hearing Site: Dallas, TX
| | |
| 19-00888 | 03/23/2021 | Claimant(s): Brannon McPherson
Claimant Lawyers(s): Brannon McPherson
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Joshua A. Katz
Arbitrator(s): Charles A. Pease, Steven Meyrich, Richard Djokic
Hearing Site: Denver, CO
| | |
