| 23-00726 | 09/28/2023 | Claimant(s): Julia Fasano
Claimant Lawyers(s): Julia N. Fasano
Respondent(s): Carol Dahl
Respondent Lawyers(s): Ellen M. Murphy
Arbitrator(s): Cynthia Kouril
Hearing Site: New York, NY
|  | $20,425 |
| 22-02264 | 09/28/2023 | Claimant(s): Barry Kiront
Claimant Lawyers(s): John Stewart
Respondent(s): Woodstock Financial Group.
Respondent Lawyers(s): William J. Raike
Arbitrator(s): Lisa Catalano, William A. Rome, Clive I. Morrick
Hearing Site: New York, NY
| | |
| 23-00219 | 09/22/2023 | Claimant(s): Joseph Gileno
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Jill Pilgrim, Adam B. Lass, Elena Fast
Hearing Site: New York, NY
| | |
| 21-02389 | 09/20/2023 | Claimant(s): Catalina Borrero
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jennifer Tomsen
Arbitrator(s): Harvey Barrison, Alexander Asher Truitt, Sandra M Stephenson-Peterkin
Hearing Site: New York, NY
| | |
| 22-02842 | 09/13/2023 | Claimant(s): Sigmund Rogich, Stephen Sameroff, Robert Castiglione & Marilyn Castiglione, The Rogich 2004 Family Irrevocable Trust
Claimant Lawyers(s): Sam Schwartz
Respondent(s): David Turetzky, Morgan Stanley
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): Edward F. Zagajeski, Megan Brillault, John Warner Lowe
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 23-00669 | 09/12/2023 | Claimant(s): Wei Liao
Claimant Lawyers(s): Wei Liao
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jovalin Dedaj
Arbitrator(s): Ann C. Northern
Hearing Site: New York, NY
| | Denied |
| 23-01723 | 09/11/2023 | Claimant(s): Adam Epstein
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Kent L. Benziger
Hearing Site: New York, NY
| | |
| 22-02696 | 09/08/2023 | Claimant(s): Richard Reynolds
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Gruntal & Co., L.L.C., Rockwell Global Capital LLC
Respondent Lawyers(s): Bruce Guarino, Donald N. Cohen
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
| | |
| 23-01264 | 08/31/2023 | Claimant(s): William Cerf
Claimant Lawyers(s): Zachary M. Schmitz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
| | |
| 21-02535 | 08/30/2023 | Claimant(s): A. Link Partners.
Claimant Lawyers(s): Bruce D. Johnson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David Libowsky
Arbitrator(s): Howard L. Sobel, Norman Feit, Mitchell H Rubinstein
Hearing Site: New York, NY
| | Expungement |
