| 19-00474 | 03/25/2021 | Claimant(s): Alberto Nieves, Gladys Anton
Claimant Lawyers(s): Darryl J. Bouganim
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jeffrey J. Chapman
Arbitrator(s): Jack Friedman, Mary Ellen Burns, Edmund Timothy Donovan
Hearing Site: New York, NY
|  | $250,000 |
| 19-02299 | 03/25/2021 | Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): Daniel A Spector
Respondent(s): Auguste Capital Partners
Respondent Lawyers(s): Leon Baer Borstein
Arbitrator(s): Alejandro Miguel Garro, Gerald H. Grayson, Amy Jill Baranoff
Hearing Site: New York, NY
| | $0 |
| 20-02465 | 03/24/2021 | Claimant(s): Jordan Waring
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lehman Brothers Inc
Respondent Lawyers(s): Thomas E. Hommel
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
| | |
| 18-03274 | 03/19/2021 | Claimant(s): Justin Ort, Michael Ostad, Patrick Melnik, Thomas Themistocles
Claimant Lawyers(s): Darryl J. Bouganim
Respondent(s): Empire Asset Management Company
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): Martin Izaak, Evonne WJ Tolbert, Michael S. Lazan
Hearing Site: New York, NY
| | $86,022 |
| 20-02263 | 03/17/2021 | Claimant(s): Matthew Hoffman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): James J. Fishman
Hearing Site: New York, NY
| | |
| 19-02005 | 03/15/2021 | Claimant(s): Megan Hait
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Shelley Teitelbaum, Julian F. Santos, Edward W. Morris
Hearing Site: New York, NY
| | Expungement |
| 19-01410 | 03/12/2021 | Claimant(s): Sherrie Pellini TTee of Sherrie Pellini
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Michael Jaffe, Vaughn Norman Browne, Gerald M. Levine
Hearing Site: New York, NY
| | $0 |
| 20-01572 | 03/11/2021 | Claimant(s): Ronald Large
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Clive I. Morrick
Hearing Site: New York, NY
| | |
| 20-02727 | 03/10/2021 | Claimant(s): Roger Camp
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Susan Romano
Hearing Site: New York, NY
| | |
| 20-03267 | 03/09/2021 | Claimant(s): Adam Yarnold
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY
| | |
