| 20-02489 | 09/14/2021 | Claimant(s): Debra Bushman
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Jill B. Clarke
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
| | |
| 20-03487 | 09/13/2021 | Claimant(s): Judy Block, Frances Norman Block Trust
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Morgan Stanley, Robert Ruffo
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Paul C. Kurland, Laura Carraher, Rory M. McLaughlin
Hearing Site: New York, NY
|  | Expungement |
| 20-02930 | 09/09/2021 | Claimant(s): Craig Bonn
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Laidlaw & Company (UK) Ltd.
Respondent Lawyers(s): Charles Smulevitz
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 20-03134 | 09/08/2021 | Claimant(s): Mark Kolta
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | |
| 19-01867 | 09/08/2021 | Claimant(s): Anthony Porco
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Terrance J. Nolan, Betty Chen, John Michael Richardson
Hearing Site: New York, NY
| | $0 |
| 20-00630 | 09/07/2021 | Claimant(s): Cantor Fitzgerald & Co.
Claimant Lawyers(s): David A. Paul
Respondent(s): Michael Brennan
Respondent Lawyers(s): Jessica A. Murzyn
Arbitrator(s): Jill Pilgrim, Jay Alan Kranis, Michael A Pickholz
Hearing Site: New York, NY
| | |
| 21-00115 | 09/07/2021 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Kim M. Monchik
Respondent(s): Joshua Vandress
Respondent Lawyers(s): Jon-Jorge Aras
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
| | |
| 20-00169 | 09/03/2021 | Claimant(s): Dominick Pagliaro
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Elizabeth C. Polido
Arbitrator(s): Paul C. Tang, Carol Maria Luttati, Leland Harris
Hearing Site: New York, NY
| | |
| 20-03218 | 09/03/2021 | Claimant(s): Kevin McPhee
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): American Capital Partners, Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John Gardini, Peter Bon Viso
Arbitrator(s): Amy Jill Baranoff
Hearing Site: New York, NY
| | |
| 21-00392 | 09/03/2021 | Claimant(s): Adam Gross
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Joseph F. Kelley, David J. Weisenfeld, Peter E. Gillespie
Hearing Site: New York, NY
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