| 21-02483 | 04/12/2022 | Claimant(s): George Milani
Claimant Lawyers(s): Frank J. Cuccio
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah Sorkin
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 20-03720 | 12/22/2021 | Claimant(s): Francis Mitchell
Claimant Lawyers(s): Francis G. Mitchell
Respondent(s): Christopher Frattini, Gregory Hatzimichael, Mozart Prudent
Respondent Lawyers(s): Michael Utilla
Arbitrator(s): Elizabeth Gilbert, David I. Goldblatt, Robert Morris
Hearing Site: New York, NY
| | |
| 20-01237 | 11/16/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Andrew R. Park
Respondent(s): John Agostino
Respondent Lawyers(s): John S. Agostino
Arbitrator(s): David I. Goldblatt, Anthony J. Cetta, James M. Rhodes
Hearing Site: New York, NY
| | |
| 20-02930 | 09/09/2021 | Claimant(s): Craig Bonn
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Laidlaw & Company (UK) Ltd.
Respondent Lawyers(s): Charles Smulevitz
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 21-00980 | 07/30/2021 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): John B. Clark
Respondent(s): Steven Mitchell
Respondent Lawyers(s): Steven Jay Mitchell
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 20-02193 | 12/22/2020 | Claimant(s): Jeffrey Karitis
Claimant Lawyers(s): Amy B. Bard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 20-00026 | 11/24/2020 | Claimant(s): Joseph Biondolillo
Claimant Lawyers(s): Scott Holcomb
Respondent(s): J.P. Turner & Company, L.L.C., vFinance Investments
Respondent Lawyers(s): David Feldstein, Emily A. Hayes
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 20-00830 | 11/06/2020 | Claimant(s): MANUEL ROSE
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 19-00812 | 11/01/2019 | Claimant(s): Joseph Nunn
Claimant Lawyers(s): Joseph C. Nunn
Respondent(s): The Williams Capital Group, L.P.
Respondent Lawyers(s): Marc L. Silverman
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 18-02757 | 05/10/2019 | Claimant(s): Anthony Markovic
Claimant Lawyers(s): Anthony L. Markovic
Respondent(s): Sterne, Agee & Leach.
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Sandra Gale Behrle, David I. Goldblatt, Nunzio Garzino
Hearing Site: New York, NY
|  | Dismissed by Rule 12206/12504 |
