| 22-01815 | 06/16/2023 | Claimant(s): BGC Financial, L.P.
Claimant Lawyers(s): Nirav Shah
Respondent(s): David Nierenberg, TJM Investments
Respondent Lawyers(s): Jonathan Sack
Arbitrator(s): Larry Kars, Charles L. Henderson, Virginia Mary Hunt
Hearing Site: New York, NY
| | |
| 19-00001 | 05/05/2022 | Claimant(s): Legend Securities.
Claimant Lawyers(s): Salvatore Caruso
Respondent(s): COR Clearing LLC, Stocktrade Network.
Respondent Lawyers(s): Carl S. Burkalter, Salvatore Caruso
Arbitrator(s): Charles L. Henderson, Madelyn A. Levy, Thomas Hansen Boast
Hearing Site: New York, NY
| | |
| 19-03719 | 03/03/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Tracey Salmon-Smith
Respondent(s): Mark Boccuzzi
Respondent Lawyers(s): Jeremy L. Bartell
Arbitrator(s): David S. Billet, Charles L. Henderson, Joseph I. Liebman
Hearing Site: New York, NY
| | |
| 17-03028 | 03/14/2019 | Claimant(s): Michael Liciardello
Claimant Lawyers(s): Michael M. Liciardello
Respondent(s): Newedge USA LLC
Respondent Lawyers(s): Stacie R. Hartman
Arbitrator(s): Joseph J. Arata, William G. Binckes, Charles L. Henderson
Hearing Site: New York, NY
| | |
| 15-03311 | 07/01/2016 | Claimant(s): Steven Sormani
Claimant Lawyers(s): Trae D. Meyr
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Charles L. Henderson, David I. Goldblatt, Brooks White
Hearing Site: New York, NY
| | |
| 12-04263 | 02/12/2014 | Claimant(s): Standard Credit Securities Inc., Tradition Asiel Securities Inc.
Claimant Lawyers(s): Ernest Edward Badway
Respondent(s): Mischler Financial Group.
Respondent Lawyers(s): Sylvia Scott
Arbitrator(s): Charles L. Henderson, Robert I. Adler, Lisa Lograno
Hearing Site: New York, NY
| | |
| 10-02937 | 11/26/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Deborah G. Evans
Respondent(s): David Honigstock
Respondent Lawyers(s): Paul A. Lieberman
Arbitrator(s): Charles L. Henderson, Elizabeth Elster Granville, Walter M. Schackman
Hearing Site: New York, NY
| | |
| 11-01476 | 05/08/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Megan M. Christensen
Respondent(s): Michael Boylan
Respondent Lawyers(s): Michael Boylan
Arbitrator(s): Charles L. Henderson, Howard L. Sobel, Veera V. Konka
Hearing Site: New York, NY
| | |
| 07-00345 | 03/10/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Warren Rockmacher
Respondent Lawyers(s): Warren M. Rockmacher
Arbitrator(s): Mark D. Quinn, Charles L. Henderson, Allan N. Taffet
Hearing Site: New York, NY
| | |
| 07-03321 | 01/28/2009 | Claimant(s): William Barber
Claimant Lawyers(s): Fred Van Remortel
Respondent(s): Scott & Stringfellow, BB&T Capital Markets
Respondent Lawyers(s): Sarah L. Allgeier
Arbitrator(s): Charles L. Henderson, Clarence Smith, Edna Rubin Sussman
Hearing Site: New York, NY
| | |
