| 12-02002 | 04/23/2015 | Claimant(s): Grace Financial Group LLC
Claimant Lawyers(s): Timothy P. Kebbe
Respondent(s): Apex Clearing Corporation, Penson Financial Services.
Respondent Lawyers(s): John P. Bevilacqua, Mark G. Hanchet
Arbitrator(s): W. Jeffrey Weinlandt, Renee La Verne Ross CFP, Richard Bryce Nesson
Hearing Site: New York, NY
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| 12-01454 | 06/06/2013 | Claimant(s): Planner Securities LLC
Claimant Lawyers(s): John Snyder
Respondent(s): IAT Markets LLC
Respondent Lawyers(s): Augustine F. Udo
Arbitrator(s): W. Jeffrey Weinlandt
Hearing Site: New York, NY
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| 09-02129 | 03/31/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Peter Byer
Respondent(s): Michael Napolitano
Respondent Lawyers(s): J. Christopher Albanese
Arbitrator(s): Roger J. Hawke, Frank Irizarry, W. Jeffrey Weinlandt
Hearing Site: New York, NY
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| 08-03302 | 03/05/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Richard Riccio
Respondent Lawyers(s): Richard J. Riccio
Arbitrator(s): Burton M. Fendelman, Linda S. Cole, W. Jeffrey Weinlandt
Hearing Site: New York, NY
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| 08-04756 | 01/06/2010 | Claimant(s): Ian Fay
Claimant Lawyers(s): Laurence S. Moy
Respondent(s): BNP Paribas, BNP Paribas Securities Corp.
Respondent Lawyers(s): Richard J. Reibstein
Arbitrator(s): Lise Gabrielle Hunter, W. Jeffrey Weinlandt, Abigail J. Pessen
Hearing Site: New York, NY
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| 07-02035 | 01/07/2008 | Claimant(s): Clark Dodge & Co..
Claimant Lawyers(s): Randle B. Carpenter
Respondent(s): James Rossi
Respondent Lawyers(s): James David Rossi
Arbitrator(s): W. Jeffrey Weinlandt
Hearing Site: New York, NY
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| 04-02939 | 10/31/2007 | Claimant(s): Pro-Integrity Securities.
Claimant Lawyers(s): William Perry
Respondent(s): Jeffrey Rubin
Respondent Lawyers(s): Jeffrey S. Rubin
Arbitrator(s): James A. Mullin, Lucia A. Aschettino, W. Jeffrey Weinlandt
Hearing Site: New York, NY
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