| 10-02014 | 04/14/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Steve Shepherd
Respondent Lawyers(s): Steve K. Shepherd
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 09-07148 | 04/12/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Yana Kromo
Respondent(s): Ted Rovet
Respondent Lawyers(s): Frederick W. Rovet
Arbitrator(s): David I. Goldblatt
Hearing Site: Newark, NJ
| | |
| 09-05936 | 02/11/2011 | Claimant(s): Michael Bergin
Claimant Lawyers(s): Andrew Small
Respondent(s): David Restivo
Respondent Lawyers(s): David Scott Restivo
Arbitrator(s): David I. Goldblatt
Hearing Site: Newark, NJ
| | |
| 10-04316 | 02/08/2011 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): John Carson
Respondent Lawyers(s): John B. Carson
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 10-02947 | 11/10/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Mark Hatton
Respondent Lawyers(s): Mark Douglas Hatton
Arbitrator(s): David I. Goldblatt
Hearing Site: Albany, NY
| | |
| 10-01236 | 09/30/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Thomas Vertin
Respondent Lawyers(s): Thomas Brian Vertin
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 09-05747 | 03/11/2010 | Claimant(s): CIBC World Markets Corp.
Claimant Lawyers(s): Joseph J Sullivan
Respondent(s): Juan Bermudez
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 07-02493 | 10/28/2009 | Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): Bruce E. Coolidge
Respondent(s): Mark Ramos, Martin Allamian, Michael Elizondo, Last Atlantis Capital Management, Lek Securities Corporation, Petra Trading Group LLC
Respondent Lawyers(s): Anthony C. Valiulis, Tommy P. Beaudreau
Arbitrator(s): Robert L. Spangler, David I. Goldblatt, Steven David Leader
Hearing Site: New York, NY
| | |
| 06-02076 | 10/09/2009 | Claimant(s): Eugene Ross
Claimant Lawyers(s): Eugene C. Ross
Respondent(s): Bear Stearns & Co..
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Susan C. Lushing, David I. Goldblatt, Thomas A. Abitabile
Hearing Site: New York, NY
| | |
| 06-04084 | 02/25/2008 | Claimant(s): Roy Budd
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Dorothy F. Gray, Richard E. Lerner, David I. Goldblatt
Hearing Site: New York, NY
| | |
