| 18-04449 | 12/23/2019 | Claimant(s): Marcus Kline
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Daniel M. White
Arbitrator(s): Ted M. Rosen
Hearing Site: New York, NY
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| 11-00134 | 09/09/2019 | Claimant(s): Constantine Demopoulos, Michael Fontaine
Claimant Lawyers(s): Jeffrey Liddle
Respondent(s): Deutsche Bank Securities., Deutsche Bank AG
Respondent Lawyers(s): Cliff Fonstein
Arbitrator(s): Ted M. Rosen, Mary Ellen Burns, Philip Rachmelowitz
Hearing Site: New York, NY
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| 18-00381 | 03/12/2019 | Claimant(s): James Martin
Claimant Lawyers(s): Michael Bessette
Respondent(s): Morgan Stanley DW Inc., MSI Financial Services.
Respondent Lawyers(s): Eunice Jordan, Jeremy S. Winer
Arbitrator(s): Ted M. Rosen
Hearing Site: New York, NY
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| 18-01133 | 02/25/2019 | Claimant(s): Capital One Investing
Claimant Lawyers(s): James A. Nofi
Respondent(s): Guiseppe Gigliotti
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Henry F. Minnerop, Ted M. Rosen, Peter A. Seibel
Hearing Site: New York, NY
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| 18-00847 | 02/11/2019 | Claimant(s): Frank Albano
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Ted M. Rosen
Hearing Site: New York, NY
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| 18-00331 | 08/07/2018 | Claimant(s): Christopher Lazos
Claimant Lawyers(s): Jonathan Uretsky
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Ted M. Rosen
Hearing Site: New York, NY
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| 16-01342 | 07/06/2018 | Claimant(s): Jeffry Brown
Claimant Lawyers(s): Joshua D. Rievman
Respondent(s): NB Alternatives Advisers LLC, Neuberger Berman LLC
Respondent Lawyers(s): Robert N. Holtzman
Arbitrator(s): Ted M. Rosen, Robert L. Nisely, James M. Rhodes
Hearing Site: New York, NY
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| 17-01537 | 04/05/2018 | Claimant(s): Peter Marketos
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Oppenheimer & Co.., Raymond, James & Associates.
Respondent Lawyers(s): Ralph T. Izzo, Robert M. Rudnicki
Arbitrator(s): Ted M. Rosen
Hearing Site: New York, NY
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| 14-01231 | 03/20/2015 | Claimant(s): Lampert Capital Markets Inc.
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Francis Cid
Respondent Lawyers(s): Francis Cid
Arbitrator(s): Ted M. Rosen
Hearing Site: New York, NY
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| 12-04361 | 04/16/2014 | Claimant(s): Ilan Preis
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Ted M. Rosen, Lori H. Carena, Jeffrey P. Bachmann
Hearing Site: New York, NY
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