| 17-00279 | 06/26/2018 | Claimant(s): Mohamed Ahmed
Claimant Lawyers(s): Robert A. Giacovas
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Lawerence R. Sandak
Arbitrator(s): Paul Bennett Marrow, Thomas J. Stock, Marc S. Schindelheim
Hearing Site: New York, NY
| | |
| 17-02104 | 06/26/2018 | Claimant(s): Leslie and Joel Greenberg
Claimant Lawyers(s): Joel M. Greenberg
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Steven Davidson, Merrill Lynch Wealth Management
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Sandra J. Mullings, Michael J. Maran, John J. Vesey
Hearing Site: New York, NY
|  | $0 |
| 17-02332 | 06/22/2018 | Claimant(s): Stephen Seremetis
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Karimu F. Hill-Harvey
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 |
| 17-00761 | 06/21/2018 | Claimant(s): Michael Luftman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): 1717 Capital Management Company, Metropolitan Life Insurance Company
Respondent Lawyers(s): Christopher C. Coss, Joseph J. Prochaska
Arbitrator(s): Martin Mushkin
Hearing Site: New York, NY
| | |
| 17-02932 | 06/15/2018 | Claimant(s): Mark Kolta
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Veronica Ann Williams
Hearing Site: New York, NY
| | |
| 16-03717 | 06/13/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Michael Pellegrino
Respondent Lawyers(s): Darryl J. Bouganim
Arbitrator(s): Stephen A. Weiner
Hearing Site: New York, NY
| | |
| 17-01463 | 06/12/2018 | Claimant(s): Sue Cheung
Claimant Lawyers(s): Martin Unger
Respondent(s): USAA Financial Advisors.
Respondent Lawyers(s): David W. Erb
Arbitrator(s): Mitchell Regenbogen
Hearing Site: New York, NY
| | |
| 17-02213 | 06/12/2018 | Claimant(s): Todd Hubley
Claimant Lawyers(s): James E. Heavey
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael Zaretsky
Arbitrator(s): Sam Antar
Hearing Site: New York, NY
| | |
| 17-03323 | 06/12/2018 | Claimant(s): Christine Petraglia
Claimant Lawyers(s): Christine Petraglia
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
| | $0 |
