| 18-02786 | 01/09/2019 | Claimant(s): David Rey
Claimant Lawyers(s): Robert Jay Moses
Respondent(s): American Portfolios Financial Services,
Respondent Lawyers(s): Frank A. Tauches
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 17-02952 | 01/09/2019 | Claimant(s): Ron Ben-Zakai, Refua Shlema
Claimant Lawyers(s): Samuel J. Lieberman
Respondent(s): Philip Rabinovich, Dinosaur Financial Group
Respondent Lawyers(s): M. William Munno
Arbitrator(s): Richard W. Cutler, Pamela H. Roderick, James G Paulsen
Hearing Site: New York, NY
|  | Expungement |
| 18-01731 | 01/08/2019 | Claimant(s): Phillip Michals
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): GunnAllen Financial
Respondent Lawyers(s): Deborah Anne Williams
Arbitrator(s): Alfonso George Figliolia, David John Reilly, Howard R. Reiss
Hearing Site: New York, NY
| | |
| 17-03437 | 01/07/2019 | Claimant(s): Aldus Chapin, Chapin Family Trust
Claimant Lawyers(s): Aldus N Chapin
Respondent(s): TD Ameritrade., Citigroup Global Markets.
Respondent Lawyers(s): Richard C. Szuch, Simeon Schopf
Arbitrator(s): Harvey Barrison, Julian F. Santos, Pierre F. de Ravel d'Esclapon
Hearing Site: New York, NY
| | Expungement |
| 18-01165 | 01/04/2019 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Ian H. Hummel
Respondent(s): First Cap. Real Estate Investments, First Cap. Real Estate Op. P'ship LP, First Capital Real Estate Advisors LP, First Capital Real Estate Trust Inc.
Respondent Lawyers(s): Corporate Office
Arbitrator(s): Gerry E. Feinberg, Morton S. Bunis, Megan Brillault
Hearing Site: New York, NY
| | $0 |
| 18-01482 | 01/02/2019 | Claimant(s): Christopher Mittleman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
| | |
| 18-00749 | 12/21/2018 | Claimant(s): Windsor Street Capital
Claimant Lawyers(s): Robert I Rabinowitz
Respondent(s): Mackey Alligood, Scott Werling
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): John J. Vesey, Alan Steven Brodherson, Judith B Weinstock
Hearing Site: New York, NY
| | |
| 18-02460 | 12/20/2018 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Kim M Monchik
Respondent(s): Joseph Todaro
Respondent Lawyers(s): Joseph Paul Todaro
Arbitrator(s): John D. Nagy
Hearing Site: New York, NY
| | |
| 16-02323 | 12/19/2018 | Claimant(s): Robert Mulholland
Claimant Lawyers(s): John D. Singer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Eugene Scalia
Arbitrator(s): William H. Morley, Anna Lascar, Rebecca Ann Berlow
Hearing Site: New York, NY
| | |
| 17-02994 | 12/13/2018 | Claimant(s): Great Vision USD Fund I, L.P.
Claimant Lawyers(s): Leon Baer Borstein
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason Billy
Arbitrator(s): Michael H. DuBoff, John Michael Richardson, Andrew Evan Gelfand
Hearing Site: New York, NY
| | $345,800 |
