| 23-02995 | 10/18/2024 | Claimant(s): Robert Eide
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): William E. Nuckel
Hearing Site: New York, NY
| | |
| 23-02980 | 10/18/2024 | Claimant(s): Joseph Medina
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Neil G. Gargiulo, Gerry E. Feinberg, William E. Nuckel
Hearing Site: New York, NY
| | |
| 23-00470 | 10/18/2024 | Claimant(s): Robert Forte
Claimant Lawyers(s): Kyle M. Kulzer
Respondent(s): David Boral, Joseph Rallo, Benchmark Investments
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Peter A. Goldman, Laurel Ann Brien, Maurice Robinson
Hearing Site: New York, NY
| | |
| 23-03000 | 10/11/2024 | Claimant(s): John Garrity
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Hapoalim Securities USA.
Respondent Lawyers(s): Maxim Nowak
Arbitrator(s): John B. Morgan, Gerald M. Levine, Sean Farrow
Hearing Site: New York, NY
| | |
| 23-03484 | 10/10/2024 | Claimant(s): Annmarie Cronin
Claimant Lawyers(s): Michael J. DeSantis
Respondent(s): Fidelity Brokerage Services LLC, Empower Retirement LLC
Respondent Lawyers(s): Daniel C. Fleming, Rebecca E. Swenson
Arbitrator(s): Terrance J. Nolan
Hearing Site: New York, NY
|  | $39,731 |
| 23-02989 | 10/07/2024 | Claimant(s): Gregory Bodkin, Jerry Bileski
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Worden Capital Management LLC
Respondent Lawyers(s): Jamie J. Worden
Arbitrator(s): Susan C Lushing, Ellyn S. Roth, Alejandro Santana
Hearing Site: New York, NY
| | |
| 23-01580 | 09/27/2024 | Claimant(s): Lisa Posillico
Claimant Lawyers(s): Neil B. Solomon
Respondent(s): Donna Mackay, Morgan Stanley, Sally Ann Weger
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Loretta Yin, Paula Berg, Scott Fairgrieve
Hearing Site: New York, NY
| | Expungement |
| 23-01227 | 09/26/2024 | Claimant(s): Elliot Sherer
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | |
| 23-02793 | 09/26/2024 | Claimant(s): Peter Marshall
Claimant Lawyers(s): Craig Riha
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Lawrence Barbot
Arbitrator(s): Howard J. Stiefel, Robert J. Miller, Gerald M. Levine
Hearing Site: New York, NY
| | |
| 23-01680 | 09/26/2024 | Claimant(s): Robert Rosenfeld DDS Retirement Plan
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy Winer
Arbitrator(s): Cheryl H. Agris, Terrance J. Nolan, Jay William Pozenel
Hearing Site: New York, NY
| | $0 |
