| 20-01426 | 01/13/2021 | Claimant(s): James Dy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Robert E. Anderson
Hearing Site: Jersey City, NJ
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| 20-01697 | 12/17/2020 | Claimant(s): Chander Goel
Claimant Lawyers(s): Richard D. DeVita
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard Lubarsky
Arbitrator(s): Jill Pilgrim
Hearing Site: New York, NY
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| 19-03275 | 10/06/2020 | Claimant(s): Eszylfie Taylor
Claimant Lawyers(s): Frances Menzer
Respondent(s): NYLife Securities LLC, Eagle Strategies LLC
Respondent Lawyers(s): Shawn P. Thomas
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
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| 18-03869 | 02/04/2020 | Claimant(s): Adam Holeman
Claimant Lawyers(s): Adam Noah Holeman
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Jay Alan Kranis, Regina Waynes Joseph, Timothy F. Grable
Hearing Site: Newark, NJ
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| 18-04361 | 11/15/2019 | Claimant(s): Donald Robbins
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Christen Leah Casale
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
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| 19-00216 | 09/30/2019 | Claimant(s): Clayton Shum
Claimant Lawyers(s): Harris M. Freedman
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jill Settlemyer
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
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| 18-01124 | 08/07/2019 | Claimant(s): Richard Bodner
Claimant Lawyers(s): Jason T. Albin
Respondent(s): NYLife Securities LLC, William Mangano
Respondent Lawyers(s): Russell Sayre, Steven G. Janik
Arbitrator(s): William M. Getzoff, Robert H. Baker, Veronica A. Rice
Hearing Site: Cleveland, OH
|  | Expungement |
| 18-03767 | 06/05/2019 | Claimant(s): Jason Spears
Claimant Lawyers(s): Jason P. Spears
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Arne R. Rode
Hearing Site: Chicago, IL
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| 18-00727 | 10/03/2018 | Claimant(s): Kevin Peterson
Claimant Lawyers(s): John A Bender
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Philip E. Cutler
Hearing Site: Seattle, WA
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| 17-00718 | 09/20/2018 | Claimant(s): NYLife Securities LLC, New York Life Insurance Company
Claimant Lawyers(s): Richard F. Lubarsky
Respondent(s): Jonathan Ayer, Karley Carto, Luis Decastro
Respondent Lawyers(s): Barton E. Centauro, Richard F. Lubarsky
Arbitrator(s): Patrick R. Westerkamp, Karen Kupersmith, Michael Jonathan Chazan
Hearing Site: Providence, RI
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