| 20-03766 | 09/23/2021 | Claimant(s): Christopher Bond
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily Hayes
Arbitrator(s): Steven J. Petrie, Anna M. Fanelli, Royce Russell
Hearing Site: New York, NY
| | |
| 20-01070 | 09/23/2021 | Claimant(s): Jess DiPasquale
Claimant Lawyers(s): Alan L. Rosca
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Betty Chen, Harrison Johnson, Emily Diamond
Hearing Site: New York, NY
|  | $0 |
| 20-03183 | 09/22/2021 | Claimant(s): Timothy Longo
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Morgan Stanley DW Inc., Trident Partners Ltd.
Respondent Lawyers(s): Jeremy S. Winer, Nicholas Scavone
Arbitrator(s): Patricia Kathleen Costello
Hearing Site: New York, NY
| | |
| 20-02472 | 09/20/2021 | Claimant(s): Stephen Kiront
Claimant Lawyers(s): John D. Stewart
Respondent(s): Monroe Parker Securities., Stratton Oakmont., Fairchild Financial Group.
Respondent Lawyers(s): Alan Lipsky, Domingas Tavares, Patrick G. Hayes
Arbitrator(s): Carol Maria Luttati
Hearing Site: New York, NY
| | |
| 20-02726 | 09/20/2021 | Claimant(s): Roger Camp
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | |
| 18-03696 | 09/20/2021 | Claimant(s): Jay Fagan, Sandra Fagan
Claimant Lawyers(s): Richard D. De Vita
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Howard J. Stiefel, Francis Carling, Richard Lee Mansdoerfer
Hearing Site: New York, NY
| | Expungement |
| 21-01035 | 09/17/2021 | Claimant(s): Erguis Mertiri
Claimant Lawyers(s): Erguis Mertiri
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Adam A. Brown
Arbitrator(s): Robert Elliot Harrison
Hearing Site: New York, NY
| | $0 |
| 20-03119 | 09/16/2021 | Claimant(s): Michael Fasciglione
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation, First Montauk Securities Corp.
Respondent Lawyers(s): Emily A. Hayes, Robert I. Rabinowitz
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 20-02623 | 09/16/2021 | Claimant(s): FPP CIS Opportunities Fund, L.P.
Claimant Lawyers(s): Samuel J. Lieberman
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): David Luger
Arbitrator(s): Judith C. Zerden, Kinchen C. Bizzell, Lawrence Williams
Hearing Site: New York, NY
| | $1,881,500 |
| 20-01798 | 09/15/2021 | Claimant(s): Elvie Moore, Esther Buckram, Maureen Dowe
Claimant Lawyers(s): Max Folkenflik
Respondent(s): Eric Schwimmer, Prudential Financial.
Respondent Lawyers(s): Vincent A. Sama
Arbitrator(s): Leona Beane, Linda J. Baer, Noah Jonathan Hanft
Hearing Site: New York, NY
| | |
