| 20-04126 | 08/16/2022 | Claimant(s): Maria Fernbach
Claimant Lawyers(s): Stuart D. Meissner
Respondent(s): Charles Schwab & Co.., Pinnacle Associates, Ltd.
Respondent Lawyers(s): Gilbert R. Serota, James Nealon
Arbitrator(s): Paul C. Kurland, Kevin F. Cuddihy, Kenneth Brown
Hearing Site: New York, NY
|  | $1,177,150 |
| 20-00151 | 01/25/2022 | Claimant(s): Joseph Gunnar & Co. LLC
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Brandon Pflaum, Cesar Pozo, Worden Capital Management LLC, Joseph Alagna, Matthew Gates, Miguel Cabarcas
Respondent Lawyers(s): John E. Lawlor, Richard Roth
Arbitrator(s): Ilene Barbara Zatkin-Butler, Paul C. Kurland, Jeanne M. Keefe
Hearing Site: New York, NY
| | |
| 20-03487 | 09/13/2021 | Claimant(s): Judy Block, Frances Norman Block Trust
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Morgan Stanley, Robert Ruffo
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Paul C. Kurland, Laura Carraher, Rory M. McLaughlin
Hearing Site: New York, NY
| | Expungement |
| 18-03703 | 06/04/2019 | Claimant(s): Peter Dizdar
Claimant Lawyers(s): Israel Klein
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): Ruth Ann Burgess
Arbitrator(s): Paul C. Kurland
Hearing Site: New York, NY
| | |
| 07-01535 | 04/29/2009 | Claimant(s): Wall Street Access Corporation
Claimant Lawyers(s): Brian J. Neville
Respondent(s): Scott Wertheim, CapTrust Financial Advisors
Respondent Lawyers(s): Amie Flower Carmack
Arbitrator(s): Paul C. Kurland, Edward Baer, Denzil J. Klippel
Hearing Site: New York, NY
| | |
