| 19-00001 | 05/05/2022 | Claimant(s): Legend Securities.
Claimant Lawyers(s): Salvatore Caruso
Respondent(s): COR Clearing LLC, Stocktrade Network.
Respondent Lawyers(s): Carl S. Burkalter, Salvatore Caruso
Arbitrator(s): Charles L. Henderson, Madelyn A. Levy, Thomas Hansen Boast
Hearing Site: New York, NY
| | |
| 21-01050 | 05/05/2022 | Claimant(s): Mahesh Agarwal
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Flow Traders U.S. LLC
Respondent Lawyers(s): Mallory A. Campbell
Arbitrator(s): Veronica Ann Williams, Mauricio Videla, Emmett Francis Ryan
Hearing Site: New York, NY
| | |
| 21-01362 | 05/05/2022 | Claimant(s): Dolores Mitchell
Claimant Lawyers(s): Louis Tambaro
Respondent(s): Morgan Stanley, Royal Alliance Associates.
Respondent Lawyers(s): Amanda L. Parisi, James V. Noblett
Arbitrator(s): Robert J. Miller, Brian John Gallagher, John Warner Lowe
Hearing Site: New York, NY
| | |
| 21-02257 | 05/04/2022 | Claimant(s): Joseph Amato
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Alexander Capital, L.P.
Respondent Lawyers(s): Rocco Guidicipierto
Arbitrator(s): Stephen J. Patti, Harrison Johnson, Veronica Ann Williams
Hearing Site: New York, NY
| | |
| 21-01662 | 05/04/2022 | Claimant(s): Steven Kanowitz
Claimant Lawyers(s): Christine Lazaro
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
|  | $1,731 |
| 20-00113 | 05/02/2022 | Claimant(s): James Boland
Claimant Lawyers(s): John D. Singer
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Gabrielle Levin
Arbitrator(s): Madelon M. Rosenfeld, David Gary Jacobs, Dalia Zaza
Hearing Site: New York, NY
| | |
| 21-02935 | 04/28/2022 | Claimant(s): Louis George Sampanis Retirement Trust
Claimant Lawyers(s): Louis G. Sampanis
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
| | $163 |
| 19-03326 | 04/28/2022 | Claimant(s): Amy Chan, Hing Chan
Claimant Lawyers(s): Paul Radvany
Respondent(s): Johnny Guan
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Ted M. Rosen, Peter A. Goldman, Bernard Lieberman
Hearing Site: New York, NY
| | $97,187 |
| 20-03729 | 04/27/2022 | Claimant(s): William Price
Claimant Lawyers(s): William Price
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Harvey E. Benjamin, Franklin Kass Moss, Richard Gary Stelnik
Hearing Site: New York, NY
| | |
| 21-01095 | 04/27/2022 | Claimant(s): Marlen Osadchy
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Edward W. Morris, Cynthia Kouril, Joanne Sari Feld
Hearing Site: New York, NY
| | |
