| 20-02099 | 02/23/2022 | Claimant(s): Kevin O'Neill
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Mark Kolta
Respondent Lawyers(s): Tosh Grebenik
Arbitrator(s): Richard W. Vallario, Lori H. Carena, Gerald M. Levine
Hearing Site: New York, NY
|  | $0 |
| 20-03189 | 02/22/2022 | Claimant(s): Vincent Fiorentino
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | |
| 21-00715 | 02/22/2022 | Claimant(s): Ying Lei
Claimant Lawyers(s): Ying Lei
Respondent(s): Kwai Chan, TD Ameritrade., Shou Yung Hua
Respondent Lawyers(s): John D. Stewart
Arbitrator(s): Nancy Kramer, Mark Cuccaro, Jess A. Bunshaft
Hearing Site: New York, NY
| | Expungement |
| 18-01782 | 02/17/2022 | Claimant(s): Alicia Cabouli
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Robert S. Whitman
Arbitrator(s): Leona Beane, Robin H. Gise, Regina Waynes Joseph
Hearing Site: New York, NY
| | |
| 19-03501 | 02/17/2022 | Claimant(s): J.P. Morgan Securities
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Harris Chan, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Louis M. Lagalante, Maria V. Martin
Arbitrator(s): Susan C Lushing, Blueth Bromfield, Michael A Pickholz
Hearing Site: New York, NY
| | |
| 21-01879 | 02/16/2022 | Claimant(s): Bennett Weiss IRA, Bennett Weiss SEP IRA, Denise Weiss IRA, Denise Weiss SEP IRA
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Andrew S. Azarmi
Arbitrator(s): Julian F. Santos, Barry Steven Port, Brian John Gallagher
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 20-03998 | 02/14/2022 | Claimant(s): Erwin Knapp, Linda Kelderhouse, Erwin Knapp IRA, Erwin A. Knapp & Marga Knapp JTWROS, Linda Kelderhouse TOD
Claimant Lawyers(s): Matt Wolper
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Briana K. Huffer
Arbitrator(s): William H. Morley, John Michael Richardson, Joyce Diane Campbell Priveterre
Hearing Site: New York, NY
| | Expungement |
| 21-01334 | 02/10/2022 | Claimant(s): John Parmigiani
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Allied Millennial Partners
Respondent Lawyers(s): Kay Johnson
Arbitrator(s): Josian Antoine
Hearing Site: New York, NY
| | |
| 20-01986 | 02/09/2022 | Claimant(s): Michael Lyublinsky
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): NatWest Markets Securities Inc.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Joseph J. Arata, Harvey Barrison, Donald Davis Capelin
Hearing Site: New York, NY
| | |
| 21-02445 | 02/09/2022 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): John D. Stewart
Respondent(s): Michael Muratore
Respondent Lawyers(s): Michael Joseph Muratore
Arbitrator(s): Dora M. Lassinger
Hearing Site: New York, NY
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