| 21-00409 | 01/10/2022 | Claimant(s): Bob Paskoski
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Next Financial Group.
Respondent Lawyers(s): John Hitchings
Arbitrator(s): Howard L. Sobel, Mark Stuart Gottlieb, Melissa L Steinberg
Hearing Site: New York, NY
|  | Dismissed by Rule 12206 |
| 21-00134 | 01/03/2022 | Claimant(s): Adoracion Estanislao
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Fidelity Brokerage Services LLC, Steven Boschert
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Martin Mushkin, Charles F. Titterton, Howard Alan Grinsberg
Hearing Site: New York, NY
| | $0 |
| 21-01124 | 12/30/2021 | Claimant(s): Dao Phan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): WMA Securities.
Respondent Lawyers(s): Clive Slovin
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
| | |
| 18-01055 | 12/28/2021 | Claimant(s): Bennie Carmain, Gary Bridgers, John Daniels, John Eversgerd, Lawrence Clarke, Richard Myers, Russell Cascardo, Viktor Prozapas, AGS Underground, Tayskasi Oy, Ettinger Family Trust
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Kevin Harms, Yousuf Saljooki
Respondent Lawyers(s): Kevin Charles Harms, Yousuf Saljooki
Arbitrator(s): Joseph J. Arata, Rory M. McLaughlin, Jerome M Shafer
Hearing Site: New York, NY
| | $792,117 |
| 21-00369 | 12/28/2021 | Claimant(s): Fibonacci Capital
Claimant Lawyers(s): Frank T.M. Catalina
Respondent(s): Andrew Lewis, Sanctuary Securities.
Respondent Lawyers(s): Christopher S. Stake
Arbitrator(s): Larry A. Kimmel, Judith C. Zerden, Julian F. Santos
Hearing Site: New York, NY
| | $40,789 |
| 19-01247 | 12/22/2021 | Claimant(s): Steven Mastrovich
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Carl W. Mills
Arbitrator(s): Thomas Caiaffa, Adam B. Lass, Lorrie E Whitfield
Hearing Site: New York, NY
| | |
| 20-03720 | 12/22/2021 | Claimant(s): Francis Mitchell
Claimant Lawyers(s): Francis G. Mitchell
Respondent(s): Christopher Frattini, Gregory Hatzimichael, Mozart Prudent
Respondent Lawyers(s): Michael Utilla
Arbitrator(s): Elizabeth Gilbert, David I. Goldblatt, Robert Morris
Hearing Site: New York, NY
| | |
| 19-01192 | 12/21/2021 | Claimant(s): Ionia Bedrosian, Shari Turnbull
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Diana Ceylan, Oppenheimer & Co..
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
| | Expungement |
| 18-03448 | 12/17/2021 | Claimant(s): Pius Sprenger, Srinvas Namagiri
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Lloyd Chin
Arbitrator(s): Harvey Barrison, Madelon M. Rosenfeld, Margarita Echevarria
Hearing Site: New York, NY
| | |
| 21-01323 | 12/14/2021 | Claimant(s): Daniel O'Connell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): William E. Nuckel
Hearing Site: New York, NY
| | |
