| 23-02731 | 08/09/2024 | Claimant(s): Morris Murciano
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): MBSC Securities Corporation
Respondent Lawyers(s): James H. Forte
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | |
| 23-01389 | 07/16/2024 | Claimant(s): David Hartmann
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): David Page, SW Financial
Respondent Lawyers(s): Axos Clearing LLC, David Hilton Page
Arbitrator(s): Lynne M. Reid-McQueen, James M. Rhodes, Jonathan Blank
Hearing Site: New York, NY
|  | $135,000 |
| 23-01209 | 06/14/2024 | Claimant(s): Michael Lastihenos
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Obsidian Financial Group
Respondent Lawyers(s): Kevin Sharma
Arbitrator(s): Lynne M. Reid-McQueen, Richard E. Castiglioni, Brenda Hinton-Miller
Hearing Site: New York, NY
| | |
| 23-01272 | 01/11/2024 | Claimant(s): James Flood
Claimant Lawyers(s): Joseph L. Calabrese
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): Jeffrey Alan Helewitz, Lynne M. Reid-McQueen, Jonathan Abrams
Hearing Site: New York, NY
| | |
| 23-00490 | 11/13/2023 | Claimant(s): Kunal Arora
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Linda R. Alpert, Lynne M. Reid-McQueen, Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 23-02218 | 10/13/2023 | Claimant(s): Jeffrey Klotz
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | |
| 23-00432 | 08/07/2023 | Claimant(s): Peter Klein
Claimant Lawyers(s): David I. Hantman
Respondent(s): Hightower Securities
Respondent Lawyers(s): Paul Wascher
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | |
| 22-01452 | 04/27/2023 | Claimant(s): Joseph Alagna
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Joseph Gunnar & Co. LLC
Respondent Lawyers(s): Peter Bon Viso
Arbitrator(s): Lynne M. Reid-McQueen, Leslie Ruth Nydick, Brian John Gallagher
Hearing Site: New York, NY
| | |
| 21-01424 | 08/05/2022 | Claimant(s): Helen Esposito, John Esposito
Claimant Lawyers(s): Paul Radvany
Respondent(s): Zachary Armstrong, Hennion & Walsh.
Respondent Lawyers(s): Jennifer Woods Burke
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | $42,557 |
| 19-00573 | 06/14/2022 | Claimant(s): Brian Dennis
Claimant Lawyers(s): Kita Lantman
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, Mark Lippman
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Thomas E. Hommel, Cindy B. Eisenberg, Lynne M. Reid-McQueen
Hearing Site: New York, NY
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