| 23-02468 | 12/29/2023 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Kwame Adusei
Respondent Lawyers(s): Kwame Adusei
Arbitrator(s): Jay Alan Kranis
Hearing Site: New York, NY
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| 22-02525 | 12/29/2023 | Claimant(s): Dale Deutsch, Lou Deutsch, Dale G. Deutsch Revocable Living Trust, Lou C. Deutsch Revocable Living Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Arthur Neil Tolciss, Barry Steven Port, Mitchell Regenbogen
Hearing Site: New York, NY
|  | Expungement |
| 23-01214 | 12/28/2023 | Claimant(s): Robert Karp
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
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| 23-01363 | 12/27/2023 | Claimant(s): Mark Gopen, Philip Weinisch
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Jeanette E. Dennis
Arbitrator(s): Thomas E. Duggan, Ellyn S. Roth, Gerald M. Levine
Hearing Site: New York, NY
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| 23-00781 | 12/26/2023 | Claimant(s): Mikal Haddad
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas E. Stagg
Arbitrator(s): Richard W. Cutler, Jill Pilgrim, Tangela Griffin
Hearing Site: New York, NY
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| 23-00650 | 12/20/2023 | Claimant(s): David Pennella
Claimant Lawyers(s): Kathleen Patchel
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Samantha Springer
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
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| 23-00538 | 12/20/2023 | Claimant(s): Ghazaleh Ebrahimi
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Paul Klein
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
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| 23-01326 | 12/20/2023 | Claimant(s): Gareth Evans
Claimant Lawyers(s): William Bean
Respondent(s): Dominick & Dickerman LLC, Sands Brothers & Co., Ltd.
Respondent Lawyers(s): Gail Fanelli, Robert M. Hladek
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
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| 23-00541 | 12/20/2023 | Claimant(s): Ghazaleh Ebrahimi
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Paul Klein
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
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| 23-00699 | 12/19/2023 | Claimant(s): Mark Schrader
Claimant Lawyers(s): Craig A. Riha
Respondent(s): GNA Securities.
Respondent Lawyers(s): James J. Namorato
Arbitrator(s): James J. Fishman, Joseph R. Brancaleone, Joyce Clayborne
Hearing Site: New York, NY
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