| 23-03010 | 07/24/2024 | Claimant(s): John Girgis
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Worden Capital Management LLC, Brookstone Securities., Legend Securities.
Respondent Lawyers(s): David W. Locy, Jamie J. Worden, Salvortore C. Caruso
Arbitrator(s): Jeffrey Alan Helewitz, Kathleen Cawley, Gerald M. Levine
Hearing Site: New York, NY
| | |
| 23-01325 | 07/17/2024 | Claimant(s): Charles Mather
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Truist Securities.
Respondent Lawyers(s): Paul R. Barsness
Arbitrator(s): Robert J. Kheel, Annamaria Boccia Smith, Anna M Barone
Hearing Site: New York, NY
| | |
| 23-02994 | 07/17/2024 | Claimant(s): Christopher Rubano
Claimant Lawyers(s): Anthony D. Green
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Jeffrey Alan Helewitz, Carol Maria Luttati, Mark Peter Haslinger
Hearing Site: New York, NY
| | |
| 23-01389 | 07/16/2024 | Claimant(s): David Hartmann
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): David Page, SW Financial
Respondent Lawyers(s): Axos Clearing LLC, David Hilton Page
Arbitrator(s): Lynne M. Reid-McQueen, James M. Rhodes, Jonathan Blank
Hearing Site: New York, NY
|  | $135,000 |
| 23-03020 | 07/15/2024 | Claimant(s): Jeffrey Klotz
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 23-03029 | 07/11/2024 | Claimant(s): Anthony Lapadula, Cesar Ramos, Eric Newman, George Kott, Joseph Giordano, Kevin Meade, Michael Pata, Robert Eide, Steven Dubinsky
Claimant Lawyers(s): Eric Newman, Thomas P. McEvoy
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Ira A. Auerbach
Hearing Site: New York, NY
| | |
| 22-02752 | 07/08/2024 | Claimant(s): Daniel Cornell
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): David S. Billet, David John Reilly, Donald Francese
Hearing Site: New York, NY
| | |
| 17-02682 | 07/08/2024 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Michael Paesano
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Aubrey Lees, Howard Alan Grinsberg, Julia Kunina-Malladi
Hearing Site: New York, NY
| | |
| 23-02710 | 07/01/2024 | Claimant(s): Mark Stern
Claimant Lawyers(s): Harris Freedman
Respondent(s): Beech Hill Securities.
Respondent Lawyers(s): Irwin Weltz
Arbitrator(s): Nancy Plesser Wendell, Vincent C. Pangia, Clarence Smith
Hearing Site: New York, NY
| | |
| 24-00372 | 07/01/2024 | Claimant(s): Michael Wadsworth
Claimant Lawyers(s): Michael J. Wadsworth
Respondent(s): Robinhood Securities
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | $425 |
