| 18-03240 | 04/03/2019 | Claimant(s): Angela Siegel, The Siegel and Reichek Family Irrevocabl
Claimant Lawyers(s): Jeffrey I. Baum
Respondent(s): Ameriprise Financial Services., Joel Goodman
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): John D. Nagy
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
| | |
| 17-01716 | 03/25/2019 | Claimant(s): Windsor Street Capital
Claimant Lawyers(s): David A. Schrader
Respondent(s): Barry Jin, Brent Porges, Charles Giaimo, David Sheppard, Joseph Valenti, Matthew Deblois, Matthew Siliato, Maxwell Delaney, Michael LaVolpe, William Leonard
Respondent Lawyers(s): Barry Jin, Brent Morgan Porges, Charles Evan Giaimo, David Leonard Sheppard, M. David Sayid, Matthew Angelo Siliato, Matthew Charles Deblois, Maxwell Topper Delaney, Michael Scott LaVolpe, William McCabe Leonard
Arbitrator(s): Ann C. Northern, Sanford S. Stevens, Donald Nevin Gershuny
Hearing Site: New York, NY
| | |
| 17-02860 | 03/25/2019 | Claimant(s): George Lawlor
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): William H. Morley, Jon Martino, Susan Romano
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 17-02473 | 03/21/2019 | Claimant(s): Betty Steinhorn TOD, Michael Steinhorn, Robert Steinhorn
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | $24,000 |
| 17-01993 | 03/19/2019 | Claimant(s): Adam Kaplan, Daniel Kaplan
Claimant Lawyers(s): John D. Singer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Susan C. Lushing, Joseph I. Liebman, Lynnette Rich
Hearing Site: New York, NY
| | |
| 17-01682 | 03/19/2019 | Claimant(s): Leon Morgan
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): John Lowry, Kim Monchik, SCS Advisory Services, Spartan Capital Holding, Spartan Capital Securities
Respondent Lawyers(s): Liam O'Brien
Arbitrator(s): Susan Manca, Bryan Lane Berson, Elliot Schnapp
Hearing Site: New York, NY
| | Expungement |
| 16-03361 | 03/15/2019 | Claimant(s): Jamarr Delauney
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Thomas Allan Dubbs, John D. Nagy, Serge Krimnus
Hearing Site: New York, NY
| | |
| 17-02323 | 03/15/2019 | Claimant(s): Frank Wong
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Dan Brecher, Domitilia M. dos Santos, Simone A. Muscarnera
Hearing Site: New York, NY
| | |
| 18-00848 | 03/15/2019 | Claimant(s): Ken Kavanagh
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): D'Anna Harper
Arbitrator(s): Joseph I. Liebman
Hearing Site: New York, NY
| | |
