| 16-00112 | 11/08/2016 | Claimant(s): Quad Capital Management, Quad Capital
Claimant Lawyers(s): Joseph M. Pastore
Respondent(s): Joseph Monte
Respondent Lawyers(s): Seth T. Taube
Arbitrator(s): James D. Yellen, Robert Bartels
Hearing Site: New York, NY
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| 15-01462 | 04/04/2016 | Claimant(s): Allstate Financial Services
Claimant Lawyers(s): S. Lawrence Polk
Respondent(s): Larry Weinbaum
Respondent Lawyers(s): Larry R. Weinbaum
Arbitrator(s): Arnold Wagner, Lawrence Robert Gould, Robert Bartels
Hearing Site: New York, NY
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| 13-01020 | 12/31/2014 | Claimant(s): Mohamed Kamara
Claimant Lawyers(s): Brian Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Daniel J. McCarthy, Robert Bartels, Daniel J. Brooks
Hearing Site: New York, NY
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| 10-02602 | 12/02/2011 | Claimant(s): A.K. Capital
Claimant Lawyers(s): Matthew E. Lipman
Respondent(s): Thomas McHugh, The Princeridge Group LLC, Triton Funding Partners
Respondent Lawyers(s): Daniel Cevallos, Victor C. Bushell
Arbitrator(s): Randolph Guggenheimer, Ellyn S. Roth, Robert Bartels
Hearing Site: New York, NY
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| 09-01067 | 01/06/2011 | Claimant(s): David Sacco
Claimant Lawyers(s): Jeffery L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Patrick W. Shea
Arbitrator(s): Brian J. Burstin, Kevin B. Naughten, Robert Bartels
Hearing Site: New York, NY
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| 07-03514 | 12/14/2009 | Claimant(s): Chase Investment Services Corp.
Claimant Lawyers(s): Michael J. McAllister
Respondent(s): Dino Dionne-Tontchev, National Securities Corporation, National Asset Management., Worldwide Wealth Management Inc.
Respondent Lawyers(s): Dino Dionne, Jamie Diaz, Mark Roth
Arbitrator(s): John N. Polakas, Elaine D. Papas, Robert Bartels
Hearing Site: New York, NY
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| 08-04122 | 01/23/2009 | Claimant(s): Neuberger Berman Management LLC
Claimant Lawyers(s): Jonathan C. Thau
Respondent(s): Jeffrey Tucker, RBC Capital Markets LLC, Seamus Monschein, Shari Mason, Steven Mascitelli
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): Milton M. Stein, Robert Bartels, John D. Nagy
Hearing Site: New York, NY
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