| 23-01506 | 11/15/2024 | Claimant(s): Richard Rubin
Claimant Lawyers(s): David Vermont
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alexandros Diplas
Arbitrator(s): Lynne M. Reid-McQueen, Mitchell H Rubinstein, Peter D.C. Mason
Hearing Site: New York, NY
|  | Expungement |
| 22-00075 | 08/22/2023 | Claimant(s): Allen Chick
Claimant Lawyers(s): David Vermont
Respondent(s): John Slipek, Joseph Amato, Nick Filippo, Alexander Capital, L.P.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Peter Khalil
Hearing Site: Portland, OR
| | Expungement |
| 21-01817 | 03/23/2023 | Claimant(s): Roger Johnson
Claimant Lawyers(s): David Vermont
Respondent(s): Frank Black, Kostas Tsamos, Southeast Investments, N.C..
Respondent Lawyers(s): Alan M. Wolper, Liam O'Brien
Arbitrator(s): Larry Evert Carlson, Marilee Roberg, Howard T. Goffen
Hearing Site: Chicago, IL
| | $0 |
| 21-00721 | 01/17/2023 | Claimant(s): Donald Winter
Claimant Lawyers(s): David Vermont
Respondent(s): Brent Porges, Craig Taddonio, Peter Faggioni
Respondent Lawyers(s): Brent Morgan Porges, Craig Scott Taddonio, Peter Anthony Faggioni
Arbitrator(s): Thomas A. Martin
Hearing Site: Oklahoma City, OK
| | $0 |
| 21-00934 | 07/15/2022 | Claimant(s): Silvana Puglia-Elmo
Claimant Lawyers(s): David Vermont
Respondent(s): Daniel Sherman, Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Thomas M. Madden, Eric Zaidins, Gary Ford Munowitz
Hearing Site: New York, NY
| | Expungement |
| 21-00114 | 05/19/2022 | Claimant(s): David C. Rentschler and Karen Ann
Claimant Lawyers(s): David Vermont
Respondent(s): Stephano Marino
Respondent Lawyers(s): David A. Schrader
Arbitrator(s): Darrell A. Hillis, Lita S Menkin, Douglas Charles Weinstein
Hearing Site: Nashville, TN
| | Dismissed by Rule 12212/12511 |
| 21-02174 | 01/05/2022 | Claimant(s): Bryan Forstman
Claimant Lawyers(s): David Vermont
Respondent(s): Worden Capital Management LLC, Jamie Worden
Respondent Lawyers(s): Jamie John Worden
Arbitrator(s): Mary Elizabeth Skelnik
Hearing Site: Birmingham, AL
| | $7,100 |
| 20-02805 | 08/02/2021 | Claimant(s): Jon F Sipe Christine Sipe JT TEN/WROS
Claimant Lawyers(s): David Vermont
Respondent(s): Dennis Riordan
Respondent Lawyers(s): Paul Goodman
Arbitrator(s): Marcia Bonita Gevers
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
