| 22-00003 | 10/07/2022 | Claimant(s): Stuart Updegrove
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Sands Brothers & Co., Ltd.
Respondent Lawyers(s): Gail Fanelli
Arbitrator(s): Peter A. Goldman
Hearing Site: New York, NY
| | |
| 19-02385 | 10/07/2022 | Claimant(s): Jonathan Peters
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): Chad Allen, Oppenheimer & Co.., Matthew Platnico, Petar Arizanov
Respondent Lawyers(s): Brian J. Neville, John T. McGuire, Joseph E. Gasperetti
Arbitrator(s): Thomas E. Duggan, Eugene G. P. Byrne, Tip Henderson
Hearing Site: New York, NY
|  | Expungement |
| 22-00171 | 10/06/2022 | Claimant(s): Stuart Updegrove
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation, Eastbrook Capital Group LLC
Respondent Lawyers(s): Edward Sampson, Emily A. Hayes
Arbitrator(s): Richard W. Cutler, John Franklin Udochi, Adam J. Ciffone
Hearing Site: New York, NY
| | |
| 22-00417 | 10/04/2022 | Claimant(s): Kristan Gregory
Claimant Lawyers(s): Parisis G. Filippatos
Respondent(s): Arena Financial Services
Respondent Lawyers(s): Patrick J. Lamparello
Arbitrator(s): Michael S. Lazan
Hearing Site: New York, NY
| | |
| 21-02035 | 09/29/2022 | Claimant(s): MaryAnn Vellone
Claimant Lawyers(s): August M. Iorio
Respondent(s): Nicholas Palumbo
Respondent Lawyers(s): Kevin Galbraith
Arbitrator(s): Fred S. Pieroni, Alice E. Winkler, Robert E. Riccobono
Hearing Site: New York, NY
| | Expungement |
| 20-03103 | 09/26/2022 | Claimant(s): Stephen Kiront
Claimant Lawyers(s): John Stewart
Respondent(s): Woodstock Financial Group.
Respondent Lawyers(s): William J. Raike
Arbitrator(s): Anna M. Fanelli
Hearing Site: New York, NY
| | |
| 21-00141 | 09/26/2022 | Claimant(s): Fatima Menou
Claimant Lawyers(s): Scott Doherty
Respondent(s): Rohit Chaku, Xiao Huang, Barclays Capital.
Respondent Lawyers(s): Victoria Sloan Lin
Arbitrator(s): Robert J. Kheel, Leona Beane, Steven Gary Leventhal
Hearing Site: New York, NY
| | |
| 21-01342 | 09/23/2022 | Claimant(s): Thiago Melzer
Claimant Lawyers(s): Jonathan S. Sack
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Kenneth Diamond, Amy Jill Baranoff, Peter E. Gillespie
Hearing Site: New York, NY
| | |
| 20-01270 | 09/21/2022 | Claimant(s): Joyce Moss, Marlo Moss
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
| | Expungement |
| 21-01725 | 09/20/2022 | Claimant(s): Samantha Beverley
Claimant Lawyers(s): Samantha Brandon Beverley
Respondent(s): Carlo Marano, Gerald Mirra
Respondent Lawyers(s): Christopher A. Smith, Timothy P. Coon
Arbitrator(s): Lise Gabrielle Hunter, Joseph F. Kelley, Jean Helen McMahon
Hearing Site: New York, NY
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