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
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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
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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
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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
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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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