| 17-01216 | 03/08/2018 | Claimant(s): The Daniel Rosenberg Testamentary Trust
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sylvia Lanka-Barone
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): John Michael Richardson, A. Rene Hollyer, Harvey E. Benjamin
Hearing Site: New York, NY
|  | $0 |
| 15-03256 | 03/02/2018 | Claimant(s): Estate of Barbara Weiden Schwartz Fischl
Claimant Lawyers(s): Douglas Desjardins
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert Serota
Arbitrator(s): John F. Duane, Linda J. Baer, Michael Jaffe
Hearing Site: New York, NY
| | $0 |
| 16-02256 | 03/01/2018 | Claimant(s): Rochdale Securities LLC
Claimant Lawyers(s): Aaron A. Romney
Respondent(s): Carl Acebes, Daniel Crowley, Hal Tunick, Harlan Sender, Kristen Talgo, Quad Capital
Respondent Lawyers(s): Aaron A. Romney, Michael A. Kleinman, Paul W. Ryan
Arbitrator(s): Leonard M. Bakal, Gregory J. Getz, Phillip Weitzman
Hearing Site: New York, NY
| | |
| 17-02225 | 02/28/2018 | Claimant(s): Benjamin Anderson, Benjamin Lee Anderson Roth IRA TDA Cust
Claimant Lawyers(s): Benjamin L. Anderson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
| | $0 |
| 17-01977 | 02/27/2018 | Claimant(s): Eric Earnhardt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Dirks & Company.
Respondent Lawyers(s): Jessy Dirks
Arbitrator(s): Brooks White
Hearing Site: New York, NY
| | |
| 16-03304 | 02/27/2018 | Claimant(s): Erich Ledermann
Claimant Lawyers(s): Erich Ledermann
Respondent(s): Alexander Kibrik
Respondent Lawyers(s): Alexander Kibrik
Arbitrator(s): Betty Chen, Edmund Timothy Donovan, Gerald M. Levine
Hearing Site: New York, NY
| | $419,080 |
| 17-00773 | 02/27/2018 | Claimant(s): St. Anel Saint-Vilus
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Clive I. Morrick, Harrison Johnson
Hearing Site: New York, NY
| | $0 |
| 17-02772 | 02/27/2018 | Claimant(s): Elizabeth McCulley
Claimant Lawyers(s): Elizabeth McCulley
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Wallace Anthony Showman
Hearing Site: New York, NY
| | $0 |
| 17-00320 | 02/26/2018 | Claimant(s): Joseph Stone Capital L.L.C.
Claimant Lawyers(s): Damian Maggio
Respondent(s): Shane Dawkins
Respondent Lawyers(s): Shane Dawkins
Arbitrator(s): Richard E. Castiglioni
Hearing Site: New York, NY
| | |
| 17-00544 | 02/26/2018 | Claimant(s): Anthony Bavedas
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Prudential Equity Group, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Megan Christensen
Arbitrator(s): Khadijah B. Matin, Zung T. Nguyen
Hearing Site: New York, NY
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