| 11-01042 | 11/16/2011 | Claimant(s): Raffaele Gambardella
Claimant Lawyers(s): Richard A. Roth
Respondent(s): Sebastian Bongiovanni
Respondent Lawyers(s): Sebastian G. Bongiovanni
Arbitrator(s): John J. Vesey
Hearing Site: New York, NY
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| 07-02629 | 04/29/2009 | Claimant(s): GunnAllen Financial.
Claimant Lawyers(s): Williard R. Knox
Respondent(s): Carlos Bonilla, Jaime Diaz
Respondent Lawyers(s): Richard A. Roth
Arbitrator(s): Margaret M McQueeney, Denise N. Seegobin, Joseph Mark Hubbell
Hearing Site: New York, NY
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| 07-00913 | 09/25/2008 | Claimant(s): Jerry Engel
Claimant Lawyers(s): M Nelson Segel
Respondent(s): Kevin Kimberlin, William Dioguardi, Spencer Trask Ventures.
Respondent Lawyers(s): Richard A. Roth
Arbitrator(s): Robert A. Lombardi
Hearing Site: Las Vegas, NV
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| 05-04554 | 03/24/2008 | Claimant(s): David McCoy, GunnAllen Holdings.
Claimant Lawyers(s): Richard A. Roth, William J. Schifino
Respondent(s): Bradley Fay, Donald Gunn, Richard Frueh, Richard Nummi, Gunnallen Financial., McCoy Rep Services.
Respondent Lawyers(s): Richard A. Roth, Robert W. Boos, William J. Schifino
Arbitrator(s): John Steve Azadian, William E. Nodine, Kenneth R. Starr
Hearing Site: Tampa, FL
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| 04-05610 | 03/19/2008 | Claimant(s): Burlington Capital Markets.
Claimant Lawyers(s): Richard A. Roth
Respondent(s): Paul Basile, GFI Securities
Respondent Lawyers(s): Lauri F. Rasnick
Arbitrator(s): Thomas Caiaffa, Selma Moy, Sharon A. McCloskey
Hearing Site: New York, NY
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