| 21-00426 | 10/18/2021 | Claimant(s): Trident Partners Ltd.
Claimant Lawyers(s): Eric J. Sussman
Respondent(s): Timothy Flynn
Respondent Lawyers(s): Timothy Michael Flynn
Arbitrator(s): Mary Julia O'Connell
Hearing Site: New York, NY
| | |
| 20-03693 | 10/14/2021 | Claimant(s): Sandra Rose
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Lawyers(s): Patrick J. Lamparello
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
| | |
| 19-00628 | 10/13/2021 | Claimant(s): Anita Karsch, Estate of Alvin Ralph Karsch
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Morgan Stanley, Roxann Romano
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Richard A. Cini, Michael Jaffe, Brian John Gallagher
Hearing Site: New York, NY
|  | Expungement |
| 20-03649 | 10/12/2021 | Claimant(s): Marilyn Lamberta-Mosca, Marilyn Lamberta-Mosca IRA, Dennis Mosca & Marilyn Lamberta-Mosca, Marilyn Lamberta-Mosca TOD
Claimant Lawyers(s): Matt E. Wolper
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Briana K. Huffer
Arbitrator(s): Howard D. Jacob, Ann Judith Gellis, Kerry-Ann Austin
Hearing Site: New York, NY
| | Expungement |
| 21-01123 | 10/08/2021 | Claimant(s): Michele Misiti
Claimant Lawyers(s): Scott Holcomb
Respondent(s): John Thomas Financial
Respondent Lawyers(s): Maria Cummings
Arbitrator(s): Ann C. Northern, William E. Nuckel, Allan N. Taffet
Hearing Site: New York, NY
| | |
| 21-00720 | 10/07/2021 | Claimant(s): Tomoe Odahara
Claimant Lawyers(s): Jordan D. Becker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Susan C Lushing, Annamaria Boccia Smith, Mark Peter Haslinger
Hearing Site: New York, NY
| | |
| 21-00893 | 10/07/2021 | Claimant(s): Brian Matthews
Claimant Lawyers(s): Brian A. Matthews
Respondent(s): Morgan Stanley, Timothy Golier
Respondent Lawyers(s): Irisa Chen
Arbitrator(s): Mary Julia O'Connell
Hearing Site: New York, NY
| | $300 |
| 21-01993 | 10/06/2021 | Claimant(s): Kathleen Entwistle
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
| | |
| 21-01829 | 10/05/2021 | Claimant(s): Ranjesh Singh
Claimant Lawyers(s): David I. Hantman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Maria V. Martin
Arbitrator(s): Josian Antoine
Hearing Site: New York, NY
| | |
| 20-02708 | 10/04/2021 | Claimant(s): Robert Dunn
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Linda J. Baer
Hearing Site: New York, NY
| | |
