| 22-02132 | 10/26/2023 | Claimant(s): Melvin Holson
Claimant Lawyers(s): Marc S. Gottlieb
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Roger Fox
Respondent Lawyers(s): Kathryn B. Rockwood
Arbitrator(s): Judith C. Zerden, John J. Mager, Paul Smith Besson
Hearing Site: New York, NY
|  | $0 |
| 22-02677 | 05/17/2023 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Joseph Desapio
Respondent Lawyers(s): Joseph C. Desapio
Arbitrator(s): Judith C. Zerden
Hearing Site: New York, NY
| | |
| 22-00816 | 10/13/2022 | Claimant(s): Joel Ratzker
Claimant Lawyers(s): Joel Ratzker
Respondent(s): Transamerica Capital.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Judith C. Zerden
Hearing Site: New York, NY
| | $0 |
| 19-02737 | 07/07/2022 | Claimant(s): Easterly Securities LLC
Claimant Lawyers(s): Michael R. Tein
Respondent(s): Avshalom Kalichstein, Darrell Crate, Thomas Bassinger, Easterly Capital LLC
Respondent Lawyers(s): Eric R. LeBlanc, Michael R. Tein
Arbitrator(s): Judith C. Zerden, Doris B. Nathan, Katherine Cooper
Hearing Site: New York, NY
| | |
| 21-01920 | 03/11/2022 | Claimant(s): Alicia Hinojosa Gutierrez
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Judith C. Zerden, Phillip Weitzman, Serge Krimnus
Hearing Site: New York, NY
| | |
| 19-01625 | 02/25/2022 | Claimant(s): William P. Cella and Elaine F. Cella
Claimant Lawyers(s): Charles J. Hecht
Respondent(s): First Republic Investment Management Inc, First Republic Securities Company
Respondent Lawyers(s): Nicole Ryan
Arbitrator(s): Joan Maxine Secofsky, Judith C. Zerden, Madelon M. Rosenfeld
Hearing Site: New York, NY
| | $0 |
| 21-00369 | 12/28/2021 | Claimant(s): Fibonacci Capital
Claimant Lawyers(s): Frank T.M. Catalina
Respondent(s): Andrew Lewis, Sanctuary Securities.
Respondent Lawyers(s): Christopher S. Stake
Arbitrator(s): Larry A. Kimmel, Judith C. Zerden, Julian F. Santos
Hearing Site: New York, NY
| | $40,789 |
| 20-02623 | 09/16/2021 | Claimant(s): FPP CIS Opportunities Fund, L.P.
Claimant Lawyers(s): Samuel J. Lieberman
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): David Luger
Arbitrator(s): Judith C. Zerden, Kinchen C. Bizzell, Lawrence Williams
Hearing Site: New York, NY
| | $1,881,500 |
| 18-03169 | 02/26/2020 | Claimant(s): Christopher Blum
Claimant Lawyers(s): Joshua K. Bromberg
Respondent(s): Thomas Bovitz, Tullett Prebon Financial Services LLC
Respondent Lawyers(s): Adam Pekor
Arbitrator(s): Judith C. Zerden, Daniel Robbins, Edward Farrelly Smith
Hearing Site: New York, NY
| | |
| 18-02692 | 10/24/2019 | Claimant(s): Hitesh Mittal
Claimant Lawyers(s): Jacob W. Buchdahl
Respondent(s): ITG Inc.
Respondent Lawyers(s): Andrew Gordon
Arbitrator(s): Judith C. Zerden, Benjamin L. Anderson, Mariane A. Liebowitz
Hearing Site: New York, NY
| | |
