| 21-00934 | 07/15/2022 | Claimant(s): Silvana Puglia-Elmo
Claimant Lawyers(s): David Vermont
Respondent(s): Daniel Sherman, Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Thomas M. Madden, Eric Zaidins, Gary Ford Munowitz
Hearing Site: New York, NY
|  | Expungement |
| 21-01011 | 07/15/2022 | Claimant(s): Ravshan Rakhmanov
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Andrew J. Melnick
Arbitrator(s): Michael H DuBoff, David S. Billet, Vanessa Lynn Van Brunt
Hearing Site: New York, NY
| | $0 |
| 18-02371 | 07/14/2022 | Claimant(s): Anil Bhandari
Claimant Lawyers(s): Rishi Bhandari
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Yvette Strong, John Franklin Udochi, Brian John Gallagher
Hearing Site: New York, NY
| | |
| 21-01562 | 07/14/2022 | Claimant(s): Gregory Manto
Claimant Lawyers(s): David E. Robbins
Respondent(s): Andrew Lindenberg
Respondent Lawyers(s): Kevin Galbraith
Arbitrator(s): Thomas D. Giordano, Jeffrey Bega, Wallace Anthony Showman
Hearing Site: New York, NY
| | |
| 21-01827 | 07/13/2022 | Claimant(s): Daniel Schoonover
Claimant Lawyers(s): Daniel L. Schoonover
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Robert Elliot Harrison
Hearing Site: New York, NY
| | $0 |
| 22-00302 | 07/12/2022 | Claimant(s): Rita Greenstein
Claimant Lawyers(s): Steven A. Gelfand
Respondent(s): David Lerner Associates., Daniel Lerner
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Albert Rizzo
Hearing Site: New York, NY
| | $23,480 |
| 21-02545 | 07/11/2022 | Claimant(s): Edward Hadel
Claimant Lawyers(s): Jessica E. Levine
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Joan Maxine Secofsky
Hearing Site: New York, NY
| | |
| 20-04094 | 07/08/2022 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Michael Rowe
Respondent(s): David Weigel, John Moran
Respondent Lawyers(s): David E. Robbins, Michael Rowe
Arbitrator(s): Jeffrey Alan Helewitz, Josefa Antonia Sicard-Mirabal, Josian Antoine
Hearing Site: New York, NY
| | |
| 19-02737 | 07/07/2022 | Claimant(s): Easterly Securities LLC
Claimant Lawyers(s): Michael R. Tein
Respondent(s): Avshalom Kalichstein, Darrell Crate, Thomas Bassinger, Easterly Capital LLC
Respondent Lawyers(s): Eric R. LeBlanc, Michael R. Tein
Arbitrator(s): Judith C. Zerden, Doris B. Nathan, Katherine Cooper
Hearing Site: New York, NY
| | |
| 19-00199 | 07/07/2022 | Claimant(s): Pearl Michaels
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Henley & Company LLC, Henley & Company Wealth Management LLC
Respondent Lawyers(s): Thomas M. Campbell
Arbitrator(s): Vincent C. Pangia, Edward F. Zagajeski, Gary Stuart Alpert
Hearing Site: New York, NY
| | $0 |
