| 18-01404 | 02/11/2020 | Claimant(s): Min Zhao, Tianjian Sun
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John D. Stewart
Arbitrator(s):
Hearing Site: New York, NY
|  | $75,000 |
| 18-03924 | 02/07/2020 | Claimant(s): Hayes Miller
Claimant Lawyers(s): Gregg J. Breitbart
Respondent(s): Morgan Stanley, Stephens
Respondent Lawyers(s): Jana Kim Fowler, Joseph A. Sack
Arbitrator(s): Susan C Lushing, Josian Antoine, Patricia A Hussey
Hearing Site: New York, NY
| | |
| 19-02482 | 02/07/2020 | Claimant(s): Toussaint Abessolo
Claimant Lawyers(s): Toussaint R. Abessolo
Respondent(s): Robinhood Financial, Robinhood Securities
Respondent Lawyers(s): Jonathan J. Brennan
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | $260 |
| 19-00200 | 02/06/2020 | Claimant(s): Christopher Moran
Claimant Lawyers(s): Edward Cerasia
Respondent(s): Phillip Michals, Raffaele Gambardella, Robert Eide, Aegis Capital Corp.
Respondent Lawyers(s): Chris Lazarini, Iciss Tillise
Arbitrator(s): Francis Carling, Michael Davies, Elise I. Strauss
Hearing Site: New York, NY
| | |
| 19-00563 | 02/06/2020 | Claimant(s): Anthony Sica
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Prudential Securities, Shearson Lehman Brothers Inc. (Puerto Ri
Respondent Lawyers(s): Alan S. Brodherson, Joseph A. Del Duca
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | |
| 19-02706 | 02/06/2020 | Claimant(s): Charles Wu
Claimant Lawyers(s): Charles Wu
Respondent(s): Ferghana Securities.
Respondent Lawyers(s): William J. Kridel
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
| | |
| 18-01292 | 02/06/2020 | Claimant(s): Sylvia Ackerman Trust Under Agreement
Claimant Lawyers(s): Anthony J. Badway
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Ernesto V. Luzzatto, Peter A. Seibel, Susan Romano
Hearing Site: New York, NY
| | $0 |
| 19-01797 | 02/03/2020 | Claimant(s): AXA Advisors, AXA Network
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Ricardo Urrutia
Respondent Lawyers(s): Ricardo Enrique Urrutia
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | |
| 18-04034 | 01/30/2020 | Claimant(s): Francois-Xavier Rouffiac
Claimant Lawyers(s): Jonathan Sack
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Sandra J. Mullings, Geoffrey M. Elkind, Peter E. Gillespie
Hearing Site: New York, NY
| | |
| 19-01491 | 01/27/2020 | Claimant(s): Allied Millennial Partners
Claimant Lawyers(s): Robert M. Bursky
Respondent(s): Francesco Palmiotti
Respondent Lawyers(s): Matthew N. Fiorovanti
Arbitrator(s): Howard J. Stiefel
Hearing Site: New York, NY
| | |
