| 16-02256 | 03/01/2018 | Claimant(s): Rochdale Securities LLC
Claimant Lawyers(s): Aaron A. Romney
Respondent(s): Carl Acebes, Daniel Crowley, Hal Tunick, Harlan Sender, Kristen Talgo, Quad Capital
Respondent Lawyers(s): Aaron A. Romney, Michael A. Kleinman, Paul W. Ryan
Arbitrator(s): Leonard M. Bakal, Gregory J. Getz, Phillip Weitzman
Hearing Site: New York, NY
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| 15-03189 | 11/17/2017 | Claimant(s): Jose Teles
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Nomura Securities International.
Respondent Lawyers(s): Jeremy T. Adler
Arbitrator(s): Jeffrey P. Bachmann, Joseph H. Cerame, Gregory J. Getz
Hearing Site: New York, NY
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| 15-03474 | 10/05/2016 | Claimant(s): Matthew Macgregor
Claimant Lawyers(s): Christopher B Jones
Respondent(s): Andrew Totman, SG Americas Securities
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Gregory J. Getz
Hearing Site: New York, NY
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| 16-01745 | 09/30/2016 | Claimant(s): Primary Capital
Claimant Lawyers(s): Ross D. Carmel
Respondent(s): Joseph Messina
Respondent Lawyers(s): Joseph Gasper Messina
Arbitrator(s): Gregory J. Getz
Hearing Site: New York, NY
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| 15-00751 | 06/30/2016 | Claimant(s): William Burke
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Gregory J. Getz, John Michael Richardson, David Spencer
Hearing Site: New York, NY
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| 14-02290 | 11/11/2015 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): David G. Russell
Respondent(s): Andrew Leventhal
Respondent Lawyers(s): David S. Smith
Arbitrator(s): Gregory J. Getz
Hearing Site: New York, NY
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| 14-00548 | 05/14/2015 | Claimant(s): Marks Baughan Securities LLC
Claimant Lawyers(s): Philip G. Kircher
Respondent(s): Inovia Holdings Pty. Ltd.
Respondent Lawyers(s): Judith A. Lockhart
Arbitrator(s): Randolph Guggenheimer, Gregory J. Getz, Brooks White
Hearing Site: New York, NY
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| 12-02346 | 02/06/2015 | Claimant(s): Scott Skyrm
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Newedge USA
Respondent Lawyers(s): John P. Barry
Arbitrator(s): Susan Y. Chin, Gregory J. Getz, Michael Peter Yahr
Hearing Site: New York, NY
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| 11-04606 | 09/24/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Pilla
Respondent Lawyers(s): Eric R. Breslin
Arbitrator(s): Gregory J. Getz
Hearing Site: New York, NY
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| 11-03824 | 06/14/2013 | Claimant(s): Robyn Zivic
Claimant Lawyers(s): Jonathan Rogin
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Patrick W. Shea
Arbitrator(s): Joan M. Traub, Judith P. Brooks, Gregory J. Getz
Hearing Site: New York, NY
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