| 22-02500 | 07/17/2023 | Claimant(s): Louise Fallica
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): American Portfolios Financial Srvs.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 22-01905 | 07/14/2023 | Claimant(s): Emilio Disanluciano
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): J. P. Turner & Company LLC, Felix Investments LLC, Sands Brothers & Co., Ltd.
Respondent Lawyers(s): David Feldstein, Gail Fanelli, John V. Bivona
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
| | |
| 23-00016 | 07/13/2023 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Robert Fitzpatrick
Respondent(s): Ahmad Maklouf
Respondent Lawyers(s): Michael C. Farkas
Arbitrator(s): Denise L. Quarles
Hearing Site: New York, NY
| | |
| 22-02977 | 07/11/2023 | Claimant(s): Linda O'Connor
Claimant Lawyers(s): Linda O'Connor
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): Ronald Citron, Annamaria Boccia Smith, Edward W. Morris
Hearing Site: New York, NY
|  | Dismissed by Rule 12504 |
| 18-02978 | 07/07/2023 | Claimant(s): Liet Han
Claimant Lawyers(s): Blaine H. Bortnick
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael J. Charlillo
Arbitrator(s): Linda J. Baer, Sean F. Monahan, Mitchell Regenbogen
Hearing Site: New York, NY
| | |
| 23-00069 | 06/29/2023 | Claimant(s): Jennifer Meier, Sean Cowan
Claimant Lawyers(s): Jennifer Kim Meier, Sean Patrick Cowan
Respondent(s): MainVest.
Respondent Lawyers(s): Nick Mathews
Arbitrator(s): Ronald Harris Kisner
Hearing Site: New York, NY
| | $0 |
| 22-02758 | 06/28/2023 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Albert Foronda
Respondent Lawyers(s): Albert Foronda
Arbitrator(s): Arthur Neil Tolciss
Hearing Site: New York, NY
| | |
| 23-00112 | 06/23/2023 | Claimant(s): Richard Reynolds
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): American Capital Partners
Respondent Lawyers(s): John Gardini
Arbitrator(s): David John Reilly
Hearing Site: New York, NY
| | |
| 20-03526 | 06/22/2023 | Claimant(s): Alprime Capital AG, NorCap Absolute Return Fund UCITS
Claimant Lawyers(s): Sam A. Silverstein
Respondent(s): E D & F Man Capital Markets Inc.
Respondent Lawyers(s): LisaMarie Collins
Arbitrator(s): Daniel Robbins, Anna Lascar, Barry Jay Mandel
Hearing Site: New York, NY
| | $0 |
| 22-02707 | 06/16/2023 | Claimant(s): Diane Civetta
Claimant Lawyers(s): Diane Civetta
Respondent(s): Anthony Hollenbeck, E*Trade Securities LLC, Michael Evans
Respondent Lawyers(s): John Bersin
Arbitrator(s): Mary Julia O'Connell
Hearing Site: New York, NY
| | $300 |
