| 23-02994 | 07/17/2024 | Claimant(s): Christopher Rubano
Claimant Lawyers(s): Anthony D. Green
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Jeffrey Alan Helewitz, Carol Maria Luttati, Mark Peter Haslinger
Hearing Site: New York, NY
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| 23-02059 | 01/25/2024 | Claimant(s): Edward Anselmin
Claimant Lawyers(s): Edward F. Anselmin
Respondent(s): Quest Capital Strategies.
Respondent Lawyers(s): Carolyne Tsai
Arbitrator(s): Annamaria Boccia Smith, Carol Maria Luttati, Lawrence A Spallanzani
Hearing Site: Jersey City, NJ
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| 21-02961 | 12/04/2023 | Claimant(s): John Dabbs
Claimant Lawyers(s): David Wechsler
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Kenneth J. Kelly
Arbitrator(s): Richard W. Vallario, Carol Maria Luttati, Michael Casali
Hearing Site: New York, NY
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| 22-01428 | 05/26/2023 | Claimant(s): Carolina Tanjutco
Claimant Lawyers(s): Carolina Tanjutco
Respondent(s): NYLife Securities LLC, New York Life Insurance Company
Respondent Lawyers(s): Christopher J. Murdoch
Arbitrator(s): Carol Maria Luttati, Abigail R. Levy
Hearing Site: New York, NY
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| 20-02109 | 03/28/2022 | Claimant(s): Derish M. Wolff 2012 Irrevocable Trust
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Brian L. Muldrew
Arbitrator(s): Carol Maria Luttati, Barry Stephen Spector, Sharon Price-Cates
Hearing Site: New York, NY
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| 20-02472 | 09/20/2021 | Claimant(s): Stephen Kiront
Claimant Lawyers(s): John D. Stewart
Respondent(s): Monroe Parker Securities., Stratton Oakmont., Fairchild Financial Group.
Respondent Lawyers(s): Alan Lipsky, Domingas Tavares, Patrick G. Hayes
Arbitrator(s): Carol Maria Luttati
Hearing Site: New York, NY
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| 20-00169 | 09/03/2021 | Claimant(s): Dominick Pagliaro
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Elizabeth C. Polido
Arbitrator(s): Paul C. Tang, Carol Maria Luttati, Leland Harris
Hearing Site: New York, NY
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| 19-00716 | 12/13/2019 | Claimant(s): Jeffrey Halpert
Claimant Lawyers(s): Louis Tambaro
Respondent(s): The Jeffrey Matthews Financial Group
Respondent Lawyers(s): Stephen Cucchia
Arbitrator(s): Carol Maria Luttati
Hearing Site: New York, NY
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| 18-00022 | 01/30/2019 | Claimant(s): Stephen Caruso
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Carol Maria Luttati, Anna Lascar, George Bartos
Hearing Site: New York, NY
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| 18-00147 | 12/06/2018 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Timothy D. Gronewold
Respondent(s): Ronan Cox
Respondent Lawyers(s): Ronan David Cox
Arbitrator(s): Nicholas J. Donohue, Donna Christina Chin, Carol Maria Luttati
Hearing Site: New York, NY
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