| 17-03225 | 07/06/2020 | Claimant(s): Eza Cattan, Lisa Cattan
Claimant Lawyers(s): David B Newman
Respondent(s): Gary Adkin, John Cregan, Jonathan Harris, Stifel, Nicolaus & Co.., Rebecca Mora
Respondent Lawyers(s): Eric D. Martin
Arbitrator(s): Keely D. Parr, Cheryl H. Agris, Matthew Fenster
Hearing Site: New York, NY
|  | Settlement |
| 19-00678 | 10/11/2019 | Claimant(s): Michael Gimeli
Claimant Lawyers(s): Irwin Weltz
Respondent(s): GunnAllen Financial, First Cambridge Securities Corporation, First Midwest Securities., Investec Ernst & Company
Respondent Lawyers(s): Deborah Ann Williams, Kelly Sutton, Stanley R. Goldstein, Stephen M. Medow
Arbitrator(s): Cheryl H. Agris
Hearing Site: New York, NY
| | |
| 18-03094 | 08/09/2019 | Claimant(s): Alan Green, David Robert, Jonathan Staiman, Vincent Miller, William Miller
Claimant Lawyers(s): Michael A. Balascio
Respondent(s): Bertram Riley, Petersen Investments.
Respondent Lawyers(s): Louis D. Tambaro
Arbitrator(s): Susan C. Lushing, Cheryl H. Agris, Stephen J. Patti
Hearing Site: New York, NY
| | |
| 19-00525 | 07/08/2019 | Claimant(s): Jadina Lilien
Claimant Lawyers(s): Jadina Lilien
Respondent(s): Mark Kolta
Respondent Lawyers(s): Paul A. Lieberman
Arbitrator(s): Cheryl H. Agris
Hearing Site: New York, NY
| | $0 |
| 17-00441 | 03/28/2019 | Claimant(s): Todd Schwendiman
Claimant Lawyers(s): Todd G. Schwendiman
Respondent(s): Alternative Asset Investment Management
Respondent Lawyers(s): Victor Park
Arbitrator(s): Cheryl H. Agris, Emily Bab Kirsch, Lawrence Williams
Hearing Site: New York, NY
| | |
| 15-00996 | 07/05/2016 | Claimant(s): Anthony Romano
Claimant Lawyers(s): Adam Nicolazzo
Respondent(s): Garden State Securities.
Respondent Lawyers(s): Martin P. Unger
Arbitrator(s): Carole L. Green, Cheryl H. Agris, Ronald F. Rosner
Hearing Site: New York, NY
| | $142,168 |
| 13-00570 | 06/19/2015 | Claimant(s): Michael Regina, Patrick Teutonico
Claimant Lawyers(s): Michael Regina, Patrick Teutonico
Respondent(s): Matthew DiGregorio
Respondent Lawyers(s): Gus Michael Farinella
Arbitrator(s): Mark Hammaren, Cheryl H. Agris, Ann P. Bruch
Hearing Site: New York, NY
| | |
| 13-01564 | 02/09/2015 | Claimant(s): Michael Kealy
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Harvey Fuchs, MML Investors Services
Respondent Lawyers(s): Julie E. Ravis, Kate E. DiGeronimo
Arbitrator(s): Cheryl H. Agris, Andrew J. Gerber, Brian Lawrence Berlandi
Hearing Site: New York, NY
| | Expungement |
| 11-01431 | 02/06/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan David Berg
Respondent(s): David Lenahan
Respondent Lawyers(s): David Lenahan
Arbitrator(s): Cheryl H. Agris
Hearing Site: Hartford, CT
| | |
| 13-00891 | 06/25/2014 | Claimant(s): Daly Reville
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): Edward Glenn, Edward Mulcahy, Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Kenneth E. Meister
Arbitrator(s): Maive R. Dale, Linda G. March, Cheryl H. Agris
Hearing Site: New York, NY
| | $113,208 |
