| 15-02956 | 12/28/2016 | Claimant(s): Royce Potts
Claimant Lawyers(s): Royce H. Potts
Respondent(s): Mutual Of Omaha Investor Services.
Respondent Lawyers(s): Alison M. Gutierrez
Arbitrator(s): Mary Ellen Burns, Annamaria Boccia Smith, Mariane A. Liebowitz
Hearing Site: New York, NY
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| 16-00551 | 08/09/2016 | Claimant(s): Eric Berger
Claimant Lawyers(s): Ted Poretz
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Deborah Burstein
Arbitrator(s): Martin Jay Siegel, Arnold Wagner, Annamaria Boccia Smith
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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| 12-01493 | 07/16/2015 | Claimant(s): GunnAllen Financial
Claimant Lawyers(s): Daniel P. Dietrich
Respondent(s): Jack Tagliaferro
Respondent Lawyers(s): Jack Joseph Tagliaferro
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
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| 14-03215 | 05/13/2015 | Claimant(s): David Wasitowski
Claimant Lawyers(s): Gregory L. Smith
Respondent(s): Pali Capital.
Respondent Lawyers(s): Yann Geron
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
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| 14-01067 | 10/21/2014 | Claimant(s): John Parmigiani
Claimant Lawyers(s): Ian J. Frimet
Respondent(s): S.W. Bach & Company
Respondent Lawyers(s): Scott Shapiro
Arbitrator(s): Annamaria Boccia Smith, John Clark Van Steen, James Alexander Brown
Hearing Site: New York, NY
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| 11-03124 | 03/14/2013 | Claimant(s): James Kuczmarski
Claimant Lawyers(s): Michael G. Berger
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Patrick Shea
Arbitrator(s): Annamaria Boccia Smith, David J. Weisenfeld, Kevin P. Feerick
Hearing Site: New York, NY
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| 10-03161 | 04/19/2012 | Claimant(s): Whitney Quillen
Claimant Lawyers(s): Whitney Staples Quillen
Respondent(s): Edward Neugeboren, Ledgemont Capital Markets LLC
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Joseph J. Arata, Anthony George Gero, Annamaria Boccia Smith
Hearing Site: New York, NY
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| 10-01249 | 08/29/2011 | Claimant(s): Lisa Francis
Claimant Lawyers(s): Lisa Melinda Francis
Respondent(s): Bluestone Capital Corporation
Respondent Lawyers(s): Matthew Gohd
Arbitrator(s): David L. Binhak, Daniel Robbins, Annamaria Boccia Smith
Hearing Site: New York, NY
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| 09-06450 | 05/02/2011 | Claimant(s): Joseph Lobaito
Claimant Lawyers(s): Joseph Alfred Lobaito
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Heidi L. Swartz
Arbitrator(s): Martin Jay Siegel, Annamaria Boccia Smith
Hearing Site: New York, NY
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