| 20-02949 | 04/09/2021 | Claimant(s): Lee Rawiszer, Paul Volpe
Claimant Lawyers(s): Richard A. D'Amura
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Shawn Shook
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | |
| 20-00904 | 11/11/2020 | Claimant(s): William Sheehan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Omni Brokerage.
Respondent Lawyers(s): Kevin Bradburn
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | |
| 18-04355 | 10/16/2019 | Claimant(s): Sean Case
Claimant Lawyers(s): Sean Michael Case
Respondent(s): Itradedirect.com Corp
Respondent Lawyers(s): Eric David Arlt
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | |
| 17-00676 | 08/05/2019 | Claimant(s): Juan Sequeda, Sonia Torres Subira
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
|  | Expungement |
| 16-00473 | 07/31/2019 | Claimant(s): Gregory Smyth, Mary Smyth, GPS & MCS Limited Partnership
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Fred S. Pieroni, Laura Carraher, Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | $0 |
| 18-00080 | 05/21/2019 | Claimant(s): William Gartland
Claimant Lawyers(s): Daniel B. Grossman
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Emily L. Milligan
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | |
| 18-00276 | 10/02/2018 | Claimant(s): Michael Sangirardi
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | |
| 16-00205 | 06/22/2018 | Claimant(s): Aviva Rahmani
Claimant Lawyers(s): Corban S. Rhodes
Respondent(s): David Altman, Sanford C. Bernstein & Co., Leonard Hersh
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Lynne M. Reid-McQueen, Stephen A. Weiner, Elliot Schnapp
Hearing Site: New York, NY
| | Expungement |
| 17-00964 | 06/05/2018 | Claimant(s): Edward Collins
Claimant Lawyers(s): Philip C . Semprevivo
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Sara Soto
Arbitrator(s): David I. Goldblatt, Lynne M. Reid-McQueen, Mark J. Happe
Hearing Site: New York, NY
| | |
| 16-01877 | 12/29/2017 | Claimant(s): Bright Lake Management LLC, Bright Lake LP
Claimant Lawyers(s): Ilan Preis
Respondent(s): Broadcort Capital Corporation, Jack Seibald, Merrill Lynch Pierce Fenner & Smith Inc., Michael Rosen, Robert Moore, Concept Capital Markets, Cowen Prime Services LLC, Merrill Lynch Professional Clearing Corp
Respondent Lawyers(s): Mark D. Knoll, Mark J. Hyland
Arbitrator(s): Anna M. Fanelli, Lynne M. Reid-McQueen, Richard Gee
Hearing Site: New York, NY
| | $0 |
