| 23-01628 | 06/07/2024 | Claimant(s): George Koutsos, Alma Industries Inc., GJK Group
Claimant Lawyers(s): Richard Diorio
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, Lawrence Burke
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Michael Jaffe, Ronald Harris Kisner, Gregg Lance Zeoli
Hearing Site: New York, NY
|  | $0 |
| 21-02779 | 03/12/2024 | Claimant(s): Philomena McCloskey, Philomena McCloskey IRA
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Ronald Harris Kisner
Hearing Site: New York, NY
| | $0 |
| 23-00069 | 06/29/2023 | Claimant(s): Jennifer Meier, Sean Cowan
Claimant Lawyers(s): Jennifer Kim Meier, Sean Patrick Cowan
Respondent(s): MainVest.
Respondent Lawyers(s): Nick Mathews
Arbitrator(s): Ronald Harris Kisner
Hearing Site: New York, NY
| | $0 |
| 19-02611 | 12/23/2022 | Claimant(s): Robert Dunn
Claimant Lawyers(s): Mitchell G. Mandell
Respondent(s): Eric Yamin
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Joan M. Traub, David Francis MacNair, Ronald Harris Kisner
Hearing Site: New York, NY
| | |
| 20-00107 | 08/29/2022 | Claimant(s): Christina and Erik Elwell
Claimant Lawyers(s): Joshua Solomon
Respondent(s): Daniel Pimental, Raymond James Financial Services.
Respondent Lawyers(s): George D. Sullivan, Matthew N. Kane
Arbitrator(s): David Sorokoff, Ronald Harris Kisner, Usher Thomasson Winslett
Hearing Site: New York, NY
| | $67,917 |
| 20-02320 | 06/30/2022 | Claimant(s): Michael Riemerschmid
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Robert H. Bernstein
Arbitrator(s): Nancy Kramer, Ronald Harris Kisner, Phillip Weitzman
Hearing Site: New York, NY
| | |
| 20-00366 | 05/25/2022 | Claimant(s): Laura Tufariello
Claimant Lawyers(s): Chase Carlson
Respondent(s): Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Paul Bennett Marrow, Ronald Harris Kisner, Susan Romano
Hearing Site: New York, NY
| | $164,900 |
| 21-02316 | 05/13/2022 | Claimant(s): Thomas Moore
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Ronald Harris Kisner
Hearing Site: New York, NY
| | |
| 21-00277 | 11/01/2021 | Claimant(s): Kevin Saia
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Ronald Harris Kisner
Hearing Site: New York, NY
| | |
| 20-03852 | 04/29/2021 | Claimant(s): Benchmark Compliance LLC
Claimant Lawyers(s): Andrew S. Klick
Respondent(s): CFI Securities
Respondent Lawyers(s): Srikumar Vanamali
Arbitrator(s): Ronald Harris Kisner
Hearing Site: New York, NY
| | $7,704 |
