| 12-00961 | 12/20/2013 | Claimant(s): Clocktower Tax Credits LLC, Northeast Securities.
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Vert Investment Group, Vert Securities, Llc
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Peter P. Skomorowsky
Hearing Site: New York, NY
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| 09-01610 | 11/05/2010 | Claimant(s): Kevin Doyle
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Donald Wojnowski, Timothy Moyer, Vlad Uchenik, Empire Financial Group.
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): Peter P. Skomorowsky
Hearing Site: New York, NY
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| 09-00356 | 07/16/2009 | Claimant(s): Robert Kelly
Claimant Lawyers(s): Robert J Kelly
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Lori Pennay
Arbitrator(s): Peter P. Skomorowsky
Hearing Site: New York, NY
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| 08-01376 | 10/31/2008 | Claimant(s): Gwen Snorteland
Claimant Lawyers(s): Howard I. Elman
Respondent(s): Mizuho Securities USA Inc.
Respondent Lawyers(s): Ronald E. Richman
Arbitrator(s): Arnold L. Goren, Peter P. Skomorowsky, Arthur H. Sobel
Hearing Site: New York, NY
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