| 18-01288 | 02/08/2021 | Claimant(s): David Romhilt
Claimant Lawyers(s): Sandra Lahens
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Ross E. Firsenbaum
Arbitrator(s): Douglas F. Stone, Ivan W. Harper, Michael S. Lazan
Hearing Site: New York, NY
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| 15-03187 | 05/22/2019 | Claimant(s): National Securities Corporation, Forte Capital Group.
Claimant Lawyers(s): Timothy Feil
Respondent(s): Nathaniel Clay
Respondent Lawyers(s): Nathaniel Clay
Arbitrator(s): Lucienne Carasso Bulow, Douglas F. Stone, Ira S. Cure
Hearing Site: New York, NY
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| 17-00057 | 05/07/2019 | Claimant(s): Anna Winderbaum, Joseph Lerner
Claimant Lawyers(s): Robert R. Miller
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Victoria Sloan Lin
Arbitrator(s): Martin Izaak, Sandra J. Mullings, Douglas F. Stone
Hearing Site: New York, NY
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| 09-04797 | 02/29/2012 | Claimant(s): Cutler Group, DC Trading Partners L.L.C., Everest Trading, MOG Capital L.L.C., Vtrader Pro
Claimant Lawyers(s): Martin P. Russo
Respondent(s): Joseph Pires, Kellogg Capital Group LLC, Kellogg Capital Markets, US Clearing Corp
Respondent Lawyers(s): George Brunelle, Michael H. Ference
Arbitrator(s): Douglas F. Stone, Christina Kallas, Sam Antar
Hearing Site: New York, NY
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| 10-00927 | 12/02/2011 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): James E. Siegel
Respondent(s): Mourad Jridi
Respondent Lawyers(s): Reynaldo G. Geerken
Arbitrator(s): Robert Pincus, Douglas F. Stone, Martin H. Zern
Hearing Site: New York, NY
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| 09-00274 | 08/18/2009 | Claimant(s): Prestige Financial Center.
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Ronald Cantalupo
Respondent Lawyers(s): Ronald Vincent Cantalupo
Arbitrator(s): Douglas F. Stone
Hearing Site: New York, NY
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| 08-02357 | 08/07/2009 | Claimant(s): ABS Brokerage Services, Iseroute, Llc, Pro Securities, L.L.C.
Claimant Lawyers(s): Carl M. Greenfeld
Respondent(s): Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet
Arbitrator(s): Donald J. Rasweiler, Arthur P. Fisch, Douglas F. Stone
Hearing Site: New York, NY
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| 08-00918 | 02/12/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Clifford Bartlett, III
Respondent Lawyers(s): Joan M. Markey
Arbitrator(s): Douglas F. Stone, Cheryl Feldman, Bruce Alan Whiteford
Hearing Site: New York, NY
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| 07-01434 | 04/29/2008 | Claimant(s): Mark Hootnick
Claimant Lawyers(s): Edward J.M. Little
Respondent(s): Greenhill & Co.
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Douglas F. Stone, Edward Peter Ryan, Lawrence F. Carnevale
Hearing Site: New York, NY
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| 07-01665 | 01/28/2008 | Claimant(s): Cowen and Company
Claimant Lawyers(s): Lloyd S. Clareman
Respondent(s): Paul Balser
Respondent Lawyers(s): Eric J. Grannis
Arbitrator(s): Michael P. Golden, Douglas F. Stone, Jean C. Black
Hearing Site: New York, NY
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