| 20-02909 | 07/17/2023 | Claimant(s): Leslie Nelson
Claimant Lawyers(s): Paul L. Vorndran
Respondent(s): Stifel, Nicolaus & Co.., Randall Minas
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Carla B. Minckley, Carol L. Roslund, Tina Alison Davis
Hearing Site: Denver, CO
|  | Expungement |
| 22-02500 | 07/17/2023 | Claimant(s): Louise Fallica
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): American Portfolios Financial Srvs.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 22-01905 | 07/14/2023 | Claimant(s): Emilio Disanluciano
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): J. P. Turner & Company LLC, Felix Investments LLC, Sands Brothers & Co., Ltd.
Respondent Lawyers(s): David Feldstein, Gail Fanelli, John V. Bivona
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
| | |
| 22-02597 | 07/14/2023 | Claimant(s): Hemant Kathuria
Claimant Lawyers(s): Kurt Kalberer
Respondent(s): A.G.P. / Alliance Global Partners
Respondent Lawyers(s): John Venezia
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | |
| 23-00016 | 07/13/2023 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Robert Fitzpatrick
Respondent(s): Ahmad Maklouf
Respondent Lawyers(s): Michael C. Farkas
Arbitrator(s): Denise L. Quarles
Hearing Site: New York, NY
| | |
| 22-02786 | 07/13/2023 | Claimant(s): Cyrus Sajna
Claimant Lawyers(s): Cyrus Sajna
Respondent(s): Tigress Financial Partners
Respondent Lawyers(s): Kris Taylor
Arbitrator(s): Daniel D. Hill, Nohayia Javed, Bernardo S. Garza
Hearing Site: Houston, TX
| | Dismissed by Rule 12504 |
| 23-00300 | 07/13/2023 | Claimant(s): James Ko
Claimant Lawyers(s): James Ko
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): John A. Scudiero, Yvonne F. Rocco, Jeffrey Alan Helewitz
Hearing Site: Jersey City, NJ
| | Dismissed by Rule 12206 |
| 22-02735 | 07/13/2023 | Claimant(s): Ally Invest Securities LLC
Claimant Lawyers(s): Daniel S. Newman
Respondent(s): Tin Tran
Respondent Lawyers(s): Tin Trung Tran
Arbitrator(s): Andrea J. Goldman, Gene M. Bauer, Edward Wallack
Hearing Site: Boston, MA
| | $149,389 |
| 22-02049 | 07/13/2023 | Claimant(s): Allen Markland, Carole Appleton, Danielle (Appleton) Caponigro, Deborah (Appleton) Gallant, John Markland, Robert Markland, Timothy Appleton
Claimant Lawyers(s): William B. Young
Respondent(s): Gerard Kelly, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig Stein
Arbitrator(s): Gary M. Landau, Robert Lawrence Ostrov, Lisa Jane Austein
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12206 |
| 22-02941 | 07/11/2023 | Claimant(s): William Mitchell
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Robert David Epstein
Hearing Site: Cincinnati, OH
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