| 18-00997 | 07/24/2018 | Claimant(s): John Vento
Claimant Lawyers(s): Michael Bessette
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Eric Chartan
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
| | |
| 14-02988 | 10/07/2016 | Claimant(s): Brandon Decker
Claimant Lawyers(s): Brandon George Decker
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): David E. Strand
Arbitrator(s): Howard D. Jacob, Ellyn S. Roth, Thomas Naylor
Hearing Site: New York, NY
| | |
| 16-01131 | 08/24/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Christopher Seshadri
Respondent Lawyers(s): Christopher Adam Seshadri
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
| | |
| 15-01377 | 07/22/2016 | Claimant(s): Richard Arzaga
Claimant Lawyers(s): Daren A. Luma
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Howard D. Jacob, Keely D. Parr, Harold Glenn Stafford
Hearing Site: New York, NY
| | |
| 15-00428 | 01/19/2016 | Claimant(s): Scott Blair
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea M. Greene
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
| | |
| 13-02861 | 09/08/2015 | Claimant(s): Gontran De Quillacq
Claimant Lawyers(s): Barry R. Lax
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Allan S. Bloom
Arbitrator(s): Howard D. Jacob, Linda Ashley, Ernesto Jose Mejer
Hearing Site: New York, NY
| | |
| 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
| | |
| 14-00264 | 07/07/2015 | Claimant(s): Edgar Ramirez, Rene Joliot, Romel Rodriguez
Claimant Lawyers(s): Jacob W. Buchdahl
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Howard D. Jacob, Irwin Pronin, Roger B. Jacobs
Hearing Site: New York, NY
| | |
| 13-02494 | 06/17/2015 | Claimant(s): Carlos Questell
Claimant Lawyers(s): Jonathan Sack
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Allan S. Bloom
Arbitrator(s): Linda R. Alpert, Howard D. Jacob, Bartley F. Flaherty
Hearing Site: New York, NY
| | |
| 13-03397 | 04/28/2015 | Claimant(s): David Olson
Claimant Lawyers(s): William Keith Watanabe
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Jeffrey A. Sonshine, Howard D. Jacob, Evan L. Gordon
Hearing Site: New York, NY
| | |
