| 21-02790 | 08/31/2022 | Claimant(s): Anthony DeMaio
Claimant Lawyers(s): Richard S. Meisner
Respondent(s): RBC Capital Markets LLC, The Jeffrey Matthews Fin. Group, L.L.C.
Respondent Lawyers(s): Ginny Colarusso, Steven M. Malina
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
| | |
| 20-00107 | 08/29/2022 | Claimant(s): Christina and Erik Elwell
Claimant Lawyers(s): Joshua Solomon
Respondent(s): Daniel Pimental, Raymond James Financial Services.
Respondent Lawyers(s): George D. Sullivan, Matthew N. Kane
Arbitrator(s): David Sorokoff, Ronald Harris Kisner, Usher Thomasson Winslett
Hearing Site: New York, NY
|  | $67,917 |
| 19-00388 | 08/26/2022 | Claimant(s): Jeffrey May
Claimant Lawyers(s): John A. Coleman
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Nicole M. Zito
Arbitrator(s): Pamela H Roderick, Lisa Lograno, Denise C. Sagua
Hearing Site: New York, NY
| | |
| 19-00801 | 08/26/2022 | Claimant(s): Shlomo Salant
Claimant Lawyers(s): John D. Singer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Robert I. Adler, Peter E. Gillespie, Daniel Engelstein
Hearing Site: New York, NY
| | |
| 22-01440 | 08/25/2022 | Claimant(s): Anita Frankel
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Seymour Cohen
Respondent Lawyers(s): Seymour Cohen
Arbitrator(s): Joyce Diane Campbell Priveterre
Hearing Site: New York, NY
| | $383,158 |
| 22-00298 | 08/24/2022 | Claimant(s): Jay Ambroson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Gould, Ambroson & Associates Ltd.
Respondent Lawyers(s): Jay A. Ambroson
Arbitrator(s): Linda J. Baer
Hearing Site: New York, NY
| | |
| 21-00911 | 08/19/2022 | Claimant(s): Yehuda Lasry
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Andrew Melnick
Arbitrator(s): James Stanley Kozera, Paula Berg
Hearing Site: New York, NY
| | $0 |
| 22-00054 | 08/17/2022 | Claimant(s): Robert Rotunno
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Seth T. Taube, Evdokia Sofos, Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 20-04126 | 08/16/2022 | Claimant(s): Maria Fernbach
Claimant Lawyers(s): Stuart D. Meissner
Respondent(s): Charles Schwab & Co.., Pinnacle Associates, Ltd.
Respondent Lawyers(s): Gilbert R. Serota, James Nealon
Arbitrator(s): Paul C. Kurland, Kevin F. Cuddihy, Kenneth Brown
Hearing Site: New York, NY
| | $1,177,150 |
| 20-02838 | 08/12/2022 | Claimant(s): Peter Thum, Peter Thum ROTH IRA, Peter Thum Traditional IRA, The Peter Thum Rollover IRA
Claimant Lawyers(s): Peter Thum
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Lucienne Carasso Bulow, Elizabeth Gilbert, Sandra Holtzman
Hearing Site: New York, NY
| | Expungement |
