| 20-03475 | 09/24/2021 | Claimant(s): Russell McLean
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securian Financial Services.
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): Peter Khalil
Hearing Site: Portland, OR
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| 19-02828 | 01/07/2021 | Claimant(s): George Kauffman
Claimant Lawyers(s): George W. Kauffman
Respondent(s): American Portfolios Financial Srvs., Robert Bartolotta, Torrey Giancursio
Respondent Lawyers(s): Gordon S. Dickens, Richard J. Babnick, Torrey Giancursio
Arbitrator(s): Barry Goldman, Ronald F Thompson, James Daniel Schultz
Hearing Site: Buffalo, NY
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| 20-01793 | 12/23/2020 | Claimant(s): Todd Roselle
Claimant Lawyers(s): Brian Luther
Respondent(s): Cambridge Investment Research., Securian Financial Services.
Respondent Lawyers(s): Richard H. Kuhlman, Richard J. Babnick
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Wilmington, DE
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| 20-01995 | 12/10/2020 | Claimant(s): Jay Fischer
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Securian Financial Services.
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 12-02738 | 07/13/2015 | Claimant(s): William Barkow
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Emilio Disanluciano, Frank Mazzola, John Bivona, Felix Investments
Respondent Lawyers(s): Aegis J. Frumento, Richard J. Babnick
Arbitrator(s): Mary A. Dubas, Howard D. Jacob, Susan Jane Harrigan
Hearing Site: New York, NY
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| 11-00683 | 09/27/2013 | Claimant(s): Harry Friedman
Claimant Lawyers(s): Daniel Hirschel
Respondent(s): Ridge Clearing & Outsourcing Solutions
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): Richard D. Chusid, Sandra J. Mullings, Lowell D. Johnston
Hearing Site: New York, NY
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| 08-05019 | 10/11/2011 | Claimant(s): Dalila Costa-Leroy
Claimant Lawyers(s): Richard J. Babnick
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Douglas H. Wigdor
Arbitrator(s): Harvey Barrison, Leah R. Marks, Erica Levitt
Hearing Site: New York, NY
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| 07-03012 | 07/13/2009 | Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Richard J. Babnick
Respondent(s): Roger May
Respondent Lawyers(s): Thomas D. Birge
Arbitrator(s): Arthur E. Otten, Mary C. Davis, Patricia Mary Vondra
Hearing Site: Denver, CO
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| 07-02661 | 03/27/2008 | Claimant(s): Avalon Partners.
Claimant Lawyers(s): Richard J. Babnick
Respondent(s): Tyre Newsome
Respondent Lawyers(s): Tyre Fred Newsome
Arbitrator(s): Paul A. Merolla
Hearing Site: New York, NY
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| 07-00886 | 10/29/2007 | Claimant(s): Empire Financial Group.
Claimant Lawyers(s): Richard J. Babnick
Respondent(s): David Mikhlin
Respondent Lawyers(s): Raymond D. Radow
Arbitrator(s): Stanley F. Meyerson, Arnold L. Goren, Marilyn J. Salzman
Hearing Site: New York, NY
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