| 23-00699 | 12/19/2023 | Claimant(s): Mark Schrader
Claimant Lawyers(s): Craig A. Riha
Respondent(s): GNA Securities.
Respondent Lawyers(s): James J. Namorato
Arbitrator(s): James J. Fishman, Joseph R. Brancaleone, Joyce Clayborne
Hearing Site: New York, NY
| | |
| 20-02263 | 03/17/2021 | Claimant(s): Matthew Hoffman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): James J. Fishman
Hearing Site: New York, NY
| | |
| 18-00082 | 04/04/2019 | Claimant(s): Joseph Stonbely
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Spartan Capital Securities
Respondent Lawyers(s): Matthew N. Fiorovanti
Arbitrator(s): James J. Fishman, Karimu F. Hill-Harvey, Charles F. Eisenhardt
Hearing Site: New York, NY
|  | Expungement |
| 18-01293 | 10/31/2018 | Claimant(s): Ivan Alfaro-Ismodes
Claimant Lawyers(s): Eugene Small
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Matthew Chow
Arbitrator(s): James J. Fishman, Stevon Lord Forrester, Peter McClellan Wright
Hearing Site: New York, NY
| | |
| 17-00880 | 07/12/2018 | Claimant(s): Ferrospes AS
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): George Calhoun, Laidlaw & Company (Uk) Ltd.
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): James J. Fishman, Pamela H. Roderick, Clarence Smith
Hearing Site: New York, NY
| | $25,000 |
| 07-03217 | 08/19/2016 | Claimant(s): Bryan Shand, Bryan Shand Pension Fund, Dunnedin Estates Overseas Ltd, Dunnedin Ltd, Khaleej Investments Ltd
Claimant Lawyers(s): Adam M. Thompson
Respondent(s): Mckyle Clyburn, Ross Mandell, Sky Capital LLC, The Thornwater Company, L.P.
Respondent Lawyers(s): Compliance Officer, Mcklye Clyburn, Robert John Grabowski, Ross Mandell
Arbitrator(s): John J. Phelan, James J. Fishman, Edna Rubin Sussman
Hearing Site: New York, NY
| | $1,312,000 |
| 15-02987 | 08/10/2016 | Claimant(s): Caren Kramer, Lauren Kramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): James J. Fishman
Hearing Site: New York, NY
| | Expungement |
| 15-01305 | 07/21/2016 | Claimant(s): Roy Coppedge
Claimant Lawyers(s): Elliot Felig
Respondent(s): Jeffrey Miller, Jeffrey Tabak, Miller Tabak & Co.
Respondent Lawyers(s): Thomas Decea
Arbitrator(s): Martin Jay Siegel, James J. Fishman, Betty Chen
Hearing Site: New York, NY
| | |
| 14-03582 | 12/21/2015 | Claimant(s): Loretta Gargiulo, The Estate of John Gargiulo
Claimant Lawyers(s): Philip H. Seelig
Respondent(s): Patrick D'Agostino, Boenning & Scattergood.
Respondent Lawyers(s): Michael J. Broadbent
Arbitrator(s): James J. Fishman, Abigail J. Pessen, Vivian Berger
Hearing Site: New York, NY
| | Expungement |
| 14-00299 | 11/12/2015 | Claimant(s): Peter Doyle, Peter Doyle IRA
Claimant Lawyers(s): Ruthann Granito
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael Gaico
Arbitrator(s): James J. Fishman, Robert E. Anderson, Nino Armienti
Hearing Site: New York, NY
| | Expungement |
