| 20-03998 | 02/14/2022 | Claimant(s): Erwin Knapp, Linda Kelderhouse, Erwin Knapp IRA, Erwin A. Knapp & Marga Knapp JTWROS, Linda Kelderhouse TOD
Claimant Lawyers(s): Matt Wolper
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Briana K. Huffer
Arbitrator(s): William H. Morley, John Michael Richardson, Joyce Diane Campbell Priveterre
Hearing Site: New York, NY
|  | Expungement |
| 19-01867 | 09/08/2021 | Claimant(s): Anthony Porco
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Terrance J. Nolan, Betty Chen, John Michael Richardson
Hearing Site: New York, NY
| | $0 |
| 19-02723 | 12/17/2020 | Claimant(s): Keith Goggin
Claimant Lawyers(s): Stephen J. Nelson
Respondent(s): James Durkin, Integral Derivatives
Respondent Lawyers(s): Gary M. Miller, Todd C. Jacobs
Arbitrator(s): Paul C. Tang, Kathleen Cawley, John Michael Richardson
Hearing Site: New York, NY
| | |
| 17-02994 | 12/13/2018 | Claimant(s): Great Vision USD Fund I, L.P.
Claimant Lawyers(s): Leon Baer Borstein
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason Billy
Arbitrator(s): Michael H. DuBoff, John Michael Richardson, Andrew Evan Gelfand
Hearing Site: New York, NY
| | $345,800 |
| 16-03350 | 05/18/2018 | Claimant(s): Thomas Lee
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Patrick W. Shea
Arbitrator(s): John J. Vesey, Kenneth F. Leder, John Michael Richardson
Hearing Site: New York, NY
| | |
| 17-01216 | 03/08/2018 | Claimant(s): The Daniel Rosenberg Testamentary Trust
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sylvia Lanka-Barone
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): John Michael Richardson, A. Rene Hollyer, Harvey E. Benjamin
Hearing Site: New York, NY
| | $0 |
| 16-03163 | 01/19/2018 | Claimant(s): Eileen Hrzich, James Hrzich
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Martin P. Unger
Arbitrator(s): Alice E. Winkler, Annamaria Boccia Smith, John Michael Richardson
Hearing Site: New York, NY
| | $0 |
| 17-00762 | 10/10/2017 | Claimant(s): Lance Verderosa
Claimant Lawyers(s): Lance Verderosa
Respondent(s): Salomon Whitney Financial
Respondent Lawyers(s): Ian J. Frimet
Arbitrator(s): John Michael Richardson
Hearing Site: New York, NY
| | $163 |
| 15-00751 | 06/30/2016 | Claimant(s): William Burke
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Gregory J. Getz, John Michael Richardson, David Spencer
Hearing Site: New York, NY
| | |
| 14-01084 | 06/25/2015 | Claimant(s): Louise Blocker
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Raymond Nardo, Alfreida B. Kenny, John Michael Richardson
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
