| 19-00803 | 11/16/2021 | Claimant(s): Adam Kaplan, Daniel Kaplan
Claimant Lawyers(s): John D. Singer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Andrew M. Schmertz, Ann Judith Gellis, Rick Rutman
Hearing Site: New York, NY
| | |
| 20-01237 | 11/16/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Andrew R. Park
Respondent(s): John Agostino
Respondent Lawyers(s): John S. Agostino
Arbitrator(s): David I. Goldblatt, Anthony J. Cetta, James M. Rhodes
Hearing Site: New York, NY
| | |
| 20-01902 | 11/12/2021 | Claimant(s): Ray Anthony San Pedro
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Eastbrook Capital Group LLC
Respondent Lawyers(s): Edward Samson
Arbitrator(s): Steven Gary Leventhal
Hearing Site: New York, NY
| | |
| 17-03013 | 11/09/2021 | Claimant(s): Laurie Diamond
Claimant Lawyers(s): Laurie E. Diamond
Respondent(s): Morgan Stanley, Wells Fargo Advisors, Jeffrey Van Demark
Respondent Lawyers(s): Andrew R. Park, Irisa Chen, Patricia E. Cowart
Arbitrator(s): Pamela H Roderick, Camille S. Cooper, Michael S. Perinelli
Hearing Site: New York, NY
|  | Expungement |
| 20-03185 | 11/05/2021 | Claimant(s): Timothy Longo
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): American Capital Partners, Trident Partners Ltd.
Respondent Lawyers(s): John Gardini, Nicholas Scavone
Arbitrator(s): Susan Romano
Hearing Site: New York, NY
| | |
| 21-01881 | 11/05/2021 | Claimant(s): Frank Delli Carpini
Claimant Lawyers(s): David I. Hantman
Respondent(s): Belle Haven Investments, L.P.
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Susan Romano
Hearing Site: New York, NY
| | |
| 19-03440 | 11/05/2021 | Claimant(s): Richard Pierre
Claimant Lawyers(s): Paul Radvany
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
| | $38,104 |
| 19-03215 | 11/05/2021 | Claimant(s): Barry E. Loughrane Revocable Trust
Claimant Lawyers(s): Jenice Malecki
Respondent(s): Paul Majane, Lincoln Financial Advisors Corporation, Moors & Cabot.
Respondent Lawyers(s): Eric Michaels, Robert A. Giacovas, Robert J. Harvey
Arbitrator(s): Jill Pilgrim, David Holmes, Richard H Leitman
Hearing Site: New York, NY
| | Expungement |
| 20-02453 | 11/03/2021 | Claimant(s): Kevin McPhee
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): A. R. Baron & Co.., American Capital Partners, First United Equities Corporation, Joseph Gunnar & Co.
Respondent Lawyers(s): Jeffrey Weissman, John Gardini, Legal Department, Peter Bon Viso
Arbitrator(s): Selma Moy
Hearing Site: New York, NY
| | |
| 20-03795 | 11/01/2021 | Claimant(s): Edward Condon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Financial Products
Respondent Lawyers(s): Peter Horacek
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY
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