| 23-01059 | 11/09/2023 | Claimant(s): Mark Romaine
Claimant Lawyers(s): Craig A. Riha
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Mark A. Pratzel
Arbitrator(s): Susan Manca
Hearing Site: New York, NY
| | |
| 23-00547 | 11/06/2023 | Claimant(s): Ray Anthony San Pedro
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Denise L. Quarles, Michele S. Riley, Joanne Sari Feld
Hearing Site: New York, NY
| | |
| 23-00406 | 10/19/2023 | Claimant(s): Christopher Ortiz
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Leona Beane, Gerald M. Levine, Matthew Anthony Tenteromano
Hearing Site: New York, NY
| | |
| 23-00219 | 09/22/2023 | Claimant(s): Joseph Gileno
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Jill Pilgrim, Adam B. Lass, Elena Fast
Hearing Site: New York, NY
| | |
| 21-02697 | 04/04/2023 | Claimant(s): Denny Gamble
Claimant Lawyers(s): Grace A. Van Hancock
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Craig A. Riha
Arbitrator(s): Allan R. Lazor, Chris W. Surprenant, Mary Audiffred
Hearing Site: New Orleans, LA
|  | Expungement |
| 19-02809 | 05/10/2022 | Claimant(s): William Metheny
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Craig A. Riha
Arbitrator(s): Michael J. Meeusen, Joshua Eric Lubatkin, Christopher Allen
Hearing Site: St. Louis, MO
| | Expungement |
| 21-01889 | 03/21/2022 | Claimant(s): Christopher Bond
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Ira A. Auerbach
Hearing Site: New York, NY
| | |
| 21-00026 | 03/14/2022 | Claimant(s): National Securities Corporation, Forte Capital Group
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Harold Ramsey
Respondent Lawyers(s): Harold B. Ramsey
Arbitrator(s): Chandler R. Bridges
Hearing Site: Atlanta, GA
| | |
| 20-01902 | 11/12/2021 | Claimant(s): Ray Anthony San Pedro
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Eastbrook Capital Group LLC
Respondent Lawyers(s): Edward Samson
Arbitrator(s): Steven Gary Leventhal
Hearing Site: New York, NY
| | |
| 21-00438 | 09/29/2021 | Claimant(s): Marwan Karnabi
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
| | $0 |
