| 15-00532 | 12/29/2016 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): David Russell
Respondent(s): Richard Comeau
Respondent Lawyers(s): Michael C. Deutsch
Arbitrator(s): Raymond Nardo, Doris Lindbergh, Linda J. Baer
Hearing Site: New York, NY
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| 15-00036 | 12/28/2016 | Claimant(s): Anthony Garvin
Claimant Lawyers(s): Barry R. Lax
Respondent(s): David Gilio, Burnham Securities Inc.
Respondent Lawyers(s): David S. Gilio, W. Nolan Sheehan
Arbitrator(s): Linda J. Baer, Edmund Siejka, Joseph Leo Calabrese
Hearing Site: New York, NY
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| 15-00815 | 10/19/2016 | Claimant(s): Metehan Erim
Claimant Lawyers(s): Jason J. LeBoeuf
Respondent(s): Carol Doran-Timmins, Craig Pruett, Eric Tepper, J.P. Morgan Securities, Manuel Ruiz, Michael Ayerov, Robert Smalls
Respondent Lawyers(s): Matthew Wholey
Arbitrator(s): Charles L. Prothero, Linda J. Baer, Peter John Maurice Forbes
Hearing Site: Newark, NJ
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| 15-00607 | 05/18/2016 | Claimant(s): Christopher Griffith, Gregory Martino
Claimant Lawyers(s): Christopher Griffith, Gregory Martino
Respondent(s): Darnell Deans, Franklin Ogele, Blackbook Capital LLC
Respondent Lawyers(s): Darnell Deans, Michael James Maloney
Arbitrator(s): Linda J. Baer, Theodore M. Davis, James Vincent Poma
Hearing Site: New York, NY
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| 14-02717 | 01/29/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Gavin Natelli
Respondent Lawyers(s): John P. Nulty
Arbitrator(s): Linda J. Baer, Edward W. Morris, Michael Joseph Mignano
Hearing Site: Newark, NJ
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| 13-00108 | 12/29/2015 | Claimant(s): Jeffrey Press
Claimant Lawyers(s): Patrick James Boyd
Respondent(s): Euro Pacific Capital.
Respondent Lawyers(s): Peter Chema
Arbitrator(s): Robina Fedora Asti, Jill I. Gross, Linda J. Baer
Hearing Site: New York, NY
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| 14-01929 | 08/24/2015 | Claimant(s): Saagar Gupta
Claimant Lawyers(s): Daniel E. Rhynhart
Respondent(s): HAP Trading
Respondent Lawyers(s): Ira Lee Sorkin
Arbitrator(s): Daniel B. Berkson, Howard L. Sobel, Linda J. Baer
Hearing Site: New York, NY
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| 13-01078 | 06/22/2015 | Claimant(s): James Swan
Claimant Lawyers(s): Nicholas Stevens
Respondent(s): BB&T Securities
Respondent Lawyers(s): Adam Stern
Arbitrator(s): Charles L. Prothero, Linda J. Baer, Louis Aloysius Hall
Hearing Site: Newark, NJ
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| 14-00213 | 04/16/2015 | Claimant(s): Philip Lefkowitz
Claimant Lawyers(s): David Hirschberg
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Kevin Leblang
Arbitrator(s): Linda J. Baer, John B. Sprung, Peter Susser
Hearing Site: New York, NY
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| 13-01271 | 03/12/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Joshua Haron, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James A. Saville, Louis M. Lagalante
Arbitrator(s): Linda J. Baer, Brian F Loveman, Michele S. Riley
Hearing Site: New York, NY
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