| 23-01123 | 11/09/2023 | Claimant(s): Rahul Halwasiya
Claimant Lawyers(s): Michael P. Gilmore
Respondent(s): vFinance Investments
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
| | |
| 23-00555 | 11/08/2023 | Claimant(s): Rocco Carriero
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Michael Langella, Nancy Dubin
Respondent Lawyers(s): Michael S. Langella, Nancy Dubin
Arbitrator(s): Ann C. Northern, Damien Bosco, Sofia Balile
Hearing Site: New York, NY
|  | Expungement |
| 23-01147 | 11/08/2023 | Claimant(s): Ryan Wroblewski
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
| | |
| 21-01965 | 11/08/2023 | Claimant(s): Julie O'Rourke
Claimant Lawyers(s): Pierre Ciric
Respondent(s): Morgan Stanley, Kathleen Entwistle, UBS Financial Services Inc.
Respondent Lawyers(s): Amanda Parisi, Anastasia B. Wohar, David I. Hantman
Arbitrator(s): Oliver W. Williams, Andrew M. Schmertz, Richard Gary Stelnik
Hearing Site: New York, NY
| | Expungement |
| 23-00051 | 11/08/2023 | Claimant(s): Garth Wilson
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Alyson A. Terrell
Arbitrator(s): Linda J. Baer
Hearing Site: New York, NY
| | |
| 23-01328 | 11/06/2023 | Claimant(s): Gareth Evans
Claimant Lawyers(s): William Bean
Respondent(s): Dominick & Dickerman LLC
Respondent Lawyers(s): Robert M. Hladek
Arbitrator(s): Ira A. Auerbach
Hearing Site: New York, NY
| | |
| 23-00547 | 11/06/2023 | Claimant(s): Ray Anthony San Pedro
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Denise L. Quarles, Michele S. Riley, Joanne Sari Feld
Hearing Site: New York, NY
| | |
| 22-00501 | 11/06/2023 | Claimant(s): Disruptive Ventures
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Erika Mckiernan, Greg Brogger, Forge Securities LLC
Respondent Lawyers(s): Daniel Zinman, David A. Kotler
Arbitrator(s): Peter A. Goldman, Laura Carraher, Ira A. Auerbach
Hearing Site: New York, NY
| | Expungement |
| 23-00338 | 10/31/2023 | Claimant(s): Judson Potter
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Ira A. Auerbach
Hearing Site: New York, NY
| | |
| 22-00316 | 10/30/2023 | Claimant(s): Cantor Fitzgerald & Co.
Claimant Lawyers(s): David Paul
Respondent(s): Adil Sener, John Bills, Kevin Phillips, Robert Kavanagh, Schuyler Fabian, Pei Global Partners LLC
Respondent Lawyers(s): Joshua D. Liston
Arbitrator(s): Michael S. Lazan, Eric Zaidins, Richard M Kosnik
Hearing Site: New York, NY
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