| 20-01716 | 01/12/2023 | Claimant(s): Gary Sparago
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Patrick Christensen
Arbitrator(s): Richard E. Castiglioni
Hearing Site: New York, NY
|  | $0 |
| 19-00387 | 01/03/2023 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Harry D. Frisch, Sara Kula, Claudine Caracciolo
Hearing Site: New York, NY
| | |
| 22-00044 | 01/03/2023 | Claimant(s): Kathleen Mucciolo, Mario Mucciolo, Estate of Katherine Mucciolo
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Hornor, Townsend & Kent.
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Alfreida B. Kenny, Mitchell Regenbogen, Charlane Brown
Hearing Site: New York, NY
| | Expungement |
| 20-03390 | 12/30/2022 | Claimant(s): Thea DePaola
Claimant Lawyers(s): Robert Giacovas
Respondent(s): Peter DePaola, De Paola Trading.
Respondent Lawyers(s): Richard L. Herzfeld
Arbitrator(s): Joan Maxine Secofsky, Joseph J. Arata, Jay F. Frascella
Hearing Site: New York, NY
| | |
| 19-03035 | 12/27/2022 | Claimant(s): Ryan Lee
Claimant Lawyers(s): Laurence Landsman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Leni D. Battaglia
Arbitrator(s): Howard W. Hirschhorn, Jay Alan Kranis, William Travis
Hearing Site: New York, NY
| | |
| 20-03548 | 12/27/2022 | Claimant(s): Jack C. Louis Trust
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): BB&T Securities
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Veera V. Konka, Leona Beane, Amy Jill Baranoff
Hearing Site: New York, NY
| | Expungement |
| 19-02611 | 12/23/2022 | Claimant(s): Robert Dunn
Claimant Lawyers(s): Mitchell G. Mandell
Respondent(s): Eric Yamin
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Joan M. Traub, David Francis MacNair, Ronald Harris Kisner
Hearing Site: New York, NY
| | |
| 21-01981 | 12/23/2022 | Claimant(s): Robert Minikes
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Mizuho Securities USA LLC
Respondent Lawyers(s): Edward M. Yennock
Arbitrator(s): Dora M. Lassinger, Donald N. Cohen, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | |
| 22-00938 | 12/23/2022 | Claimant(s): Steven Maurer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Nichols, Safina, Lerner & Co. Inc., Josephthal & Co..
Respondent Lawyers(s): CT Corporate Systemoration Service Company
Arbitrator(s): Veronica Ann Williams
Hearing Site: New York, NY
| | |
| 20-03910 | 12/23/2022 | Claimant(s): Diane Pomponio
Claimant Lawyers(s): Diane Pomponio
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Cheryl H. Agris, Lorrie E Whitfield, John Warner Lowe
Hearing Site: New York, NY
| | Expungement |
