| 21-00179 | 07/01/2021 | Claimant(s): Aliaksandr Ginzburg
Claimant Lawyers(s): Aliaksandr Ginzburg
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
|  | $0 |
| 17-01718 | 06/16/2021 | Claimant(s): Kayvan Karoon, KS Capital Management
Claimant Lawyers(s): Philip L. Guarino
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Leslie Ruth Nydick, James M. Rhodes, Antonio Di Palma
Hearing Site: Jersey City, NJ
| | |
| 19-02858 | 06/15/2021 | Claimant(s): Barney Greengrass
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Joseph J. Arata, Nicholas J. Donohue, James M. Rhodes
Hearing Site: New York, NY
| | |
| 16-02122 | 02/09/2021 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J Shapren
Respondent(s): Jason Schoenholtz
Respondent Lawyers(s): Denis Kelleher
Arbitrator(s): Robert J. Miller, James M. Rhodes, Anna Lascar
Hearing Site: New York, NY
| | |
| 17-03280 | 01/21/2021 | Claimant(s): Robert Hart, Thomas Tonkovich
Claimant Lawyers(s): Thomas H. Chiacchio
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Joseph Rudolph Guarino, James M. Rhodes, Robert J. McDonnell
Hearing Site: Jersey City, NJ
| | |
| 19-03667 | 01/15/2021 | Claimant(s): Richard Streisfeld
Claimant Lawyers(s): Amy B. Bard
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
| | |
| 20-00534 | 09/17/2020 | Claimant(s): Patricia Caporizzo
Claimant Lawyers(s): Patricia A Caporizzo
Respondent(s): Alan Sokol, Carl Susnitzky, Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
| | $0 |
| 18-03755 | 07/01/2020 | Claimant(s): Stanley Kulesza
Claimant Lawyers(s): Richard D. DeVita
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon Schopf
Arbitrator(s): Sam Antar, Scott M. Pellegrino, James M. Rhodes
Hearing Site: Newark, NJ
| | $0 |
| 16-01714 | 12/09/2019 | Claimant(s): Claude Asiane
Claimant Lawyers(s): Claude Asiane
Respondent(s): Michael Rapley, Andrew Garrett Inc.
Respondent Lawyers(s): Barry Bordetsky
Arbitrator(s): Ann C. Northern, James M. Rhodes, Katherine Cooper
Hearing Site: New York, NY
| | Dismissed |
| 17-03381 | 11/19/2019 | Claimant(s): J. Kirby Fowler, Patrica Fowler, J. Kirby & Patricia O. Fowler Irr. Trust
Claimant Lawyers(s): Michael W. Starr
Respondent(s): John McGinty, AXA Advisors
Respondent Lawyers(s): Cheryl Howard, Dennis Dice
Arbitrator(s): James M. Rhodes, Bryan David Glass
Hearing Site: Newark, NJ
| | $0 |
