| 16-01326 | 06/02/2017 | Claimant(s): Inger Telian
Claimant Lawyers(s): Inger Telian
Respondent(s): LPL Financial LLC, Frank Congemi
Respondent Lawyers(s): Katie Lynn Zorc
Arbitrator(s): Vincent C. Pangia, Robert E. Anderson, Eugene G. P. Byrne
Hearing Site: New York, NY
|  | Dismissed by Rule 12206 |
| 16-01626 | 06/01/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s): Jeffrey Lesnik
Respondent Lawyers(s): Jeffrey Charles Lesnik
Arbitrator(s): Graham Daw
Hearing Site: New York, NY
| | |
| 16-01984 | 05/30/2017 | Claimant(s): David Daniels
Claimant Lawyers(s): David B. Wechsler
Respondent(s): Nomura Securities International.
Respondent Lawyers(s): Joel A. Chernov
Arbitrator(s): Jeffrey G. Sommers, William Lee Hemphill, Eric Goldman
Hearing Site: New York, NY
| | |
| 16-03219 | 05/30/2017 | Claimant(s): Valery Scancella
Claimant Lawyers(s): Valery Scancella
Respondent(s): Legend Securities.
Respondent Lawyers(s): Frank Fusco
Arbitrator(s): Joel Levinson, Julian F. Santos, Robert Elliot Harrison
Hearing Site: New York, NY
| | |
| 17-00183 | 05/26/2017 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Christopher Manuel Rodriguez
Respondent(s): James Acosta
Respondent Lawyers(s): James P. Acosta
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
| | |
| 17-00433 | 05/26/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Joseph Casella
Respondent Lawyers(s): Joseph Casella
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
| 14-02932 | 05/26/2017 | Claimant(s): DGP, The Donald G. Partrick, Sr. 2012 Irrevoc, The Partrick Family 2012 Irrevocable Tru
Claimant Lawyers(s): Thomas J. McNamara
Respondent(s): Christopher Walkley, Morgan Stanley
Respondent Lawyers(s): Agnesa Mahmudi
Arbitrator(s): William G. Binckes, Camille S. Cooper, John Franklin Udochi
Hearing Site: New York, NY
| | Expungement |
| 16-03420 | 05/25/2017 | Claimant(s): Kenneth Carter
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Jonathan A. Scobie
Arbitrator(s): Morton S. Bunis
Hearing Site: New York, NY
| | |
| 16-01844 | 05/25/2017 | Claimant(s): Aspen Creek Partners
Claimant Lawyers(s): Eugene Mone
Respondent(s): VTB Capital Inc.
Respondent Lawyers(s): Robert G. Heim
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
| | $0 |
| 12-02392 | 05/22/2017 | Claimant(s): Kyle Rusconi, Namuk Cho
Claimant Lawyers(s): David B. Wechsler
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Alida D. Camp, Sherri L. Hughes, Kent L. Benziger
Hearing Site: New York, NY
| | |
