| 16-03259 | 08/29/2017 | Claimant(s): Paul Stawinski
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors, The Equitable Life Assurance Society Of
Respondent Lawyers(s): Cheryl Howard
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 16-01375 | 05/08/2017 | Claimant(s): Todd Brown
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Scott R. Koch
Arbitrator(s): Roger J. Hawke, Ellyn S. Roth, Peter McClellan Wright
Hearing Site: New York, NY
| | |
| 16-00726 | 05/04/2017 | Claimant(s): Jedd Levine, Jon Burrows, Joseph Lucchese
Claimant Lawyers(s): Julie E. Ravis
Respondent(s): Divine Capital Markets LLC
Respondent Lawyers(s): Barry Bordetsky
Arbitrator(s): Keely D. Parr, Ellyn S. Roth, Matthew Megally
Hearing Site: New York, NY
| | |
| 16-02020 | 01/26/2017 | Claimant(s): Laidlaw & Company (uk) Ltd.
Claimant Lawyers(s): Ross D. Carmel
Respondent(s): Manuel Paredes
Respondent Lawyers(s): Manuel Tomas Paredes
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 14-02988 | 10/07/2016 | Claimant(s): Brandon Decker
Claimant Lawyers(s): Brandon George Decker
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): David E. Strand
Arbitrator(s): Howard D. Jacob, Ellyn S. Roth, Thomas Naylor
Hearing Site: New York, NY
| | |
| 15-00190 | 07/08/2016 | Claimant(s): David Alvarez, George Medina, Pablo Quesnel
Claimant Lawyers(s): Alexander M. Dudelson
Respondent(s): WallachBeth Capital LLC
Respondent Lawyers(s): Steven D. Oppenheim
Arbitrator(s): Steven J. Petrie, Raymond Nardo, Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 14-03702 | 06/09/2016 | Claimant(s): Christopher Bibow
Claimant Lawyers(s): Donald L. Rhoads
Respondent(s): Thrivent Investment Management Inc., Thrivent Financial for Lutherans
Respondent Lawyers(s): Melissa Raphan
Arbitrator(s): Linda Yarden, Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 13-00564 | 06/16/2015 | Claimant(s): Blackbook Capital LLC
Claimant Lawyers(s): Frank I. Ogele
Respondent(s): Raffael Riverso
Respondent Lawyers(s): Raffael Giglio Riverso
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 13-03097 | 10/29/2014 | Claimant(s): Wink Mora
Claimant Lawyers(s): Robert N. Chan
Respondent(s): Sea Port Group Securities
Respondent Lawyers(s): Ronald G. Blum
Arbitrator(s): Robert S. Getman, Eric J. Sussman, Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 14-00571 | 09/23/2014 | Claimant(s): Ian Cole
Claimant Lawyers(s): Ian S. Cole
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Jay M. Israel
Arbitrator(s): Ellyn S. Roth, Paul A Candeletti, Amy Jill Baranoff
Hearing Site: New York, NY
| | |
