| 20-01944 | 04/05/2021 | Claimant(s): Paul Cooney
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Hapoalim Securities USA., Maxim Group LLC
Respondent Lawyers(s): Daniel J. Cristofano, Ian H. Hummel
Arbitrator(s): Ted M. Rosen
Hearing Site: New York, NY
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| 18-00493 | 09/27/2018 | Claimant(s): Christopher Lazos
Claimant Lawyers(s): Jonathan C. Uretsky
Respondent(s): Oppenheimer & Co.., Maxim Group LLC
Respondent Lawyers(s): Ian H. Hummel, John T. McGuire
Arbitrator(s): Ira S. Cure
Hearing Site: New York, NY
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| 16-01645 | 02/12/2018 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Ian Hummel
Respondent(s): Critical Outcome Technologies Inc.
Respondent Lawyers(s): Vivian Drohan
Arbitrator(s): Rebecca A. Novak, Daniel Robbins, Richard Gee
Hearing Site: New York, NY
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| 17-01566 | 02/09/2018 | Claimant(s): Sean Murphy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Nichols, Safina, Lerner & Co. Inc., Eastbrook Capital Group LLC, Maxim Group LLC
Respondent Lawyers(s): Chee Eng, Edward Samson, Ian H. Hummel
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
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| 15-00837 | 03/31/2016 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Ian H. Hummel
Respondent(s): Prism Technologies
Respondent Lawyers(s): Bonnie M. Boryca
Arbitrator(s): Catherine Ladnier, Alice J. P. Lee-Getman, Annamaria Boccia Smith
Hearing Site: New York, NY
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| 11-02833 | 06/04/2012 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): James Siegel
Respondent(s): Krishna Darooka
Respondent Lawyers(s): Krishna Kumar Darooka
Arbitrator(s): Donald J. Zoeller, Joseph N. Stineman, David S. Paul
Hearing Site: New York, NY
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| 11-04017 | 05/22/2012 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): James E. Siegel
Respondent(s): Thomas Tartaglia
Respondent Lawyers(s): Thomas Lewis Tartaglia
Arbitrator(s): Michael H. DuBoff, Arnold Wagner, Murray Cwass
Hearing Site: New York, NY
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| 10-00927 | 12/02/2011 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): James E. Siegel
Respondent(s): Mourad Jridi
Respondent Lawyers(s): Reynaldo G. Geerken
Arbitrator(s): Robert Pincus, Douglas F. Stone, Martin H. Zern
Hearing Site: New York, NY
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| 09-01343 | 03/03/2011 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Christopher G. Massey
Respondent(s): Leslie Buch
Respondent Lawyers(s): Leslie Neal Buch
Arbitrator(s): Richard W. Vallario, Susan C. Lushing, Andrew H. Freund
Hearing Site: New York, NY
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| 10-02038 | 12/08/2010 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Christopher G. Massey
Respondent(s): Ryan Aldridge
Respondent Lawyers(s): Ryan William Aldridge
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
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