| 19-01431 | 06/14/2023 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): James L. Komie
Respondent(s): Robert Cohen
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Mark Hammaren, Thomas M. Madden, Melinda George-Bristol
Hearing Site: New York, NY
| | |
| 19-00961 | 07/12/2021 | Claimant(s): Carolyn Long
Claimant Lawyers(s): Jason R. Doss
Respondent(s): Peter Schiff, A.G.P. / Alliance Global Partners
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Michael S. Yauch, Wayne Irwin Fagan, Esther Treneer
Hearing Site: Houston, TX
|  | Expungement |
| 18-00446 | 10/01/2019 | Claimant(s): FPJ Investments LLC, Estate of Frank Perrotti, Jr.
Claimant Lawyers(s): David A. Gehn
Respondent(s): David Riccio
Respondent Lawyers(s): David Michael Riccio
Arbitrator(s): Mae A. Brudner, Franklin Sariel Schwerin, Thomas M. Madden
Hearing Site: Hartford, CT
| | $1,300,000 |
| 17-01845 | 02/21/2018 | Claimant(s): Nilos Sakellariou
Claimant Lawyers(s): David A. Gehn
Respondent(s): Gary Moody, Glen Eagle Wealth
Respondent Lawyers(s): Andrew DeLucia
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
| | |
| 13-00287 | 07/09/2015 | Claimant(s): Guy Gregoire
Claimant Lawyers(s): David A. Gehn
Respondent(s): Pershing LLC, BNY Mellon Capital Markets
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Thomas Caiaffa, Martin A. Edelstein, Keely D. Parr
Hearing Site: New York, NY
| | |
| 14-01705 | 07/08/2015 | Claimant(s): Estate of John Lidell
Claimant Lawyers(s): Lloyd S. Clareman
Respondent(s): Jason Klabal, Michael Mariani, Legend Securities.
Respondent Lawyers(s): David A. Gehn, Lawrence R. Gelber, Michael A. Mariani
Arbitrator(s): Susan C. Lushing, Richard Lee Mansdoerfer, Michele S. Riley
Hearing Site: New York, NY
| | $61,867 |
| 12-03755 | 04/09/2015 | Claimant(s): Florence Gross
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Randy Ross
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Leah R. Marks, William A. Rome, Sonja Tennille Orgias
Hearing Site: New York, NY
| | $0 |
| 13-03131 | 01/15/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Megan M. Christensen
Respondent(s): Steve Marciniak
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Gordon M. Wase, John Joseph Borzi, Patrick R. Westerkamp, Esq.
Hearing Site: Philadelphia, PA
| | |
| 09-04736 | 11/06/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Charles Meade, Frank Gavel, Raymond James Financial Services., Nutmeg Investment Group
Respondent Lawyers(s): David A. Gehn, Thomas J. Finn
Arbitrator(s): Lewis S. Kurlantzick, Marissa A. Santangelo, Stewart F. Kleinman
Hearing Site: Hartford, CT
| | |
| 10-05146 | 02/24/2014 | Claimant(s): Brian Benoit
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Alan Chepenik, David Benoit, Raymond James Financial Services., Richard Benoit, Benoit, Chepenik & Benoit P.A.
Respondent Lawyers(s): David A. Gehn, Richard Benoit, Robert M. Rudnicki
Arbitrator(s): Terry G. Cleaves, Dwayne E. Clark, Charles W. Lavender
Hearing Site: Boca Raton, FL
| | |
