| 16-01569 | 01/19/2018 | Claimant(s): Dvora Weinstein, Steven Weinstein, Steven S Weinstein MD PC
Claimant Lawyers(s): Jacob Z. Weinstein
Respondent(s): Bryan Dunst, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Judith C. Zerden, Shelley Teitelbaum, Doris B. Nathan
Hearing Site: New York, NY
|  | Expungement |
| 16-03163 | 01/19/2018 | Claimant(s): Eileen Hrzich, James Hrzich
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Martin P. Unger
Arbitrator(s): Alice E. Winkler, Annamaria Boccia Smith, John Michael Richardson
Hearing Site: New York, NY
| | $0 |
| 15-02009 | 01/18/2018 | Claimant(s): Patricia Metz
Claimant Lawyers(s): Sandra D. Parker
Respondent(s): David Jarach, Morgan Stanley
Respondent Lawyers(s): Tracey L. Gerber
Arbitrator(s): Sandra J. Mullings, Linda J. Baer, Richard E. Castiglioni
Hearing Site: New York, NY
| | |
| 16-00654 | 01/18/2018 | Claimant(s): James Knoeller
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Mizuho Securities Usa Inc.
Respondent Lawyers(s): Philip A. Goldstein
Arbitrator(s): Keely D. Parr, Arthur M. Handler, Blossom Nicinski
Hearing Site: New York, NY
| | |
| 16-03179 | 01/18/2018 | Claimant(s): Gigi Jordan, The Hawk Mountain LLC, Michelle Mitchell, Intercession Trust
Claimant Lawyers(s): Daniel J. Kornstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth I. Schacter
Arbitrator(s): Judith C. Zerden, Ronald F. Rosner, Maya Steinitz
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 17-01952 | 01/16/2018 | Claimant(s): Brian Cain
Claimant Lawyers(s): David Buffa
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Brooks White
Hearing Site: New York, NY
| | |
| 16-00033 | 01/12/2018 | Claimant(s): Odeon Capital Group LLC
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Evan Schwartzberg, Mathew Van Alstyne, Mihir Patel, Auriga USA
Respondent Lawyers(s): Gary Trachten, Jeffrey Plotkin, Jonathan Sack
Arbitrator(s): Julian F. Santos, John Caracciolo, Paul George Huck
Hearing Site: New York, NY
| | |
| 17-01799 | 01/10/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Renan I Sugarman
Respondent(s): Matthew Paparazzo
Respondent Lawyers(s): Matthew Jacob Paparazzo
Arbitrator(s): Eugene G. P. Byrne
Hearing Site: New York, NY
| | |
| 17-02336 | 01/10/2018 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Sean Rooney
Respondent Lawyers(s): Sean Peter Rooney
Arbitrator(s): Richard E. Castiglioni
Hearing Site: New York, NY
| | |
| 17-00933 | 01/09/2018 | Claimant(s): Suzanne Nitzberg
Claimant Lawyers(s): Suzanne Hillary Nitzberg
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Anthony Michael Sabino
Hearing Site: New York, NY
| | |
