| 18-01157 | 04/16/2019 | Claimant(s): Clifford Gelman
Claimant Lawyers(s): Anthony J. Harwood
Respondent(s): Thomas Borruso
Respondent Lawyers(s): Thomas Joseph Borruso
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
|  | $260,000 |
| 18-03530 | 04/12/2019 | Claimant(s): Johnson Andrews
Claimant Lawyers(s): Johnson George Andrews
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Robert A. Cohen, Roger B. Jacobs, Harrison Johnson
Hearing Site: New York, NY
| | Expungement |
| 17-01711 | 04/12/2019 | Claimant(s): Laidlaw & Company (UK) Ltd.
Claimant Lawyers(s): Ross Carmel
Respondent(s): John Marinaccio, Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John E. Lawlor, John Michael Marinaccio
Arbitrator(s): Mark S. Segal, Paul M. Friedman, Dani Schwartz
Hearing Site: New York, NY
| | |
| 18-02731 | 04/12/2019 | Claimant(s): Adam Stern
Claimant Lawyers(s): Gregg J Breitbart
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): A. R. John Hitchings
Arbitrator(s): Amy Jill Baranoff
Hearing Site: New York, NY
| | |
| 18-03189 | 04/09/2019 | Claimant(s): Takako Johnson
Claimant Lawyers(s): Takako Johnson
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Solomon Abramov
Arbitrator(s): Ted M. Rosen
Hearing Site: New York, NY
| | $676 |
| 18-03462 | 04/05/2019 | Claimant(s): Meridian Equity Partners.
Claimant Lawyers(s): George Brunelle
Respondent(s): Charles LaMarca
Respondent Lawyers(s): Charles William LaMarca
Arbitrator(s): Robert Elliot Harrison
Hearing Site: New York, NY
| | |
| 18-03619 | 04/05/2019 | Claimant(s): Gerald Maisner
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Wells Fargo Clearing Services, RBC Capital Markets LLC
Respondent Lawyers(s): Jeffery Rodgers, Tiana M. Towns
Arbitrator(s): Steven C. Kasarda
Hearing Site: New York, NY
| | |
| 18-00082 | 04/04/2019 | Claimant(s): Joseph Stonbely
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Spartan Capital Securities
Respondent Lawyers(s): Matthew N. Fiorovanti
Arbitrator(s): James J. Fishman, Karimu F. Hill-Harvey, Charles F. Eisenhardt
Hearing Site: New York, NY
| | Expungement |
| 17-02427 | 04/03/2019 | Claimant(s): Matthew Dodds
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Eric G. Hoffman
Arbitrator(s): John B. Myers, Richard E. Castiglioni, Andrew Daniel Levine
Hearing Site: New York, NY
| | |
| 17-02796 | 04/03/2019 | Claimant(s): Mark Connelly
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): Clsa Americas
Respondent Lawyers(s): Barbara M. Roth
Arbitrator(s): Philip M. Mandel, Pamela H. Roderick, Martin L. Feinberg
Hearing Site: New York, NY
| | |
