| 20-03166 | 04/16/2021 | Claimant(s): Sharon Paul
Claimant Lawyers(s): Amy B. Bard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Carolyn A. Mann
Hearing Site: New York, NY
| | |
| 20-01374 | 04/15/2021 | Claimant(s): Louis Rusinowitz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Michael J. Biondi
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
| | |
| 20-02145 | 04/15/2021 | Claimant(s): Richard Sica
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Financial Square Partners
Respondent Lawyers(s): John Polanin
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 20-02467 | 04/15/2021 | Claimant(s): Martin Shafiroff
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lehman Brothers Inc
Respondent Lawyers(s): Thomas E. Hommel
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 20-02545 | 04/14/2021 | Claimant(s): John Caroli
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
| | |
| 20-01806 | 04/14/2021 | Claimant(s): Michael Grynberg
Claimant Lawyers(s): Michael Grynberg
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s):
Hearing Site: New York, NY
|  | $0 |
| 20-01689 | 04/12/2021 | Claimant(s): Keith Galanti
Claimant Lawyers(s): Harry Meyer
Respondent(s): Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Anthony Michael Sabino
Hearing Site: New York, NY
| | |
| 20-02924 | 04/12/2021 | Claimant(s): Lee Rawiszer, Paul Volpe
Claimant Lawyers(s): Richard A. D'Amura
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Shawn Shook
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | |
| 19-03286 | 04/12/2021 | Claimant(s): Arun Virick, Michael Fishman, Nazim Lokhandwala, Steven Rothstein, Tom Nolan, Veronica Marano, Entrust Group Inc FBO David W Rackiewicz, Provident Trust Group LLC FBO Eran Cohen, Cushman Family Trust, Terran Holding Company
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Larry Cohen
Respondent Lawyers(s): Robert I. Rabinowitz
Arbitrator(s): Thomas D. Giordano, Ira A. Auerbach, David J. Weisenfeld
Hearing Site: New York, NY
| | Expungement |
| 20-02949 | 04/09/2021 | Claimant(s): Lee Rawiszer, Paul Volpe
Claimant Lawyers(s): Richard A. D'Amura
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Shawn Shook
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
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