| 16-01624 | 11/01/2017 | Claimant(s): Westport Resources Management.
Claimant Lawyers(s): Richard Slavin
Respondent(s): Christopher DeLaura, Fieldpoint Private Securities, Westport Resources Investment Services
Respondent Lawyers(s): Jonathan C. Thau, Richard Slavin
Arbitrator(s): Dan Brecher, Larry Kars, Randolph Guggenheimer
Hearing Site: New York, NY
| | |
| 13-03642 | 08/19/2015 | Claimant(s): Elisabeth Lurye
Claimant Lawyers(s): Brittany Weiner
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Lawrence R. Sandak
Arbitrator(s): Randolph Guggenheimer, Lisa Catalano, Fern Sue Reidman
Hearing Site: New York, NY
| | |
| 14-00548 | 05/14/2015 | Claimant(s): Marks Baughan Securities LLC
Claimant Lawyers(s): Philip G. Kircher
Respondent(s): Inovia Holdings Pty. Ltd.
Respondent Lawyers(s): Judith A. Lockhart
Arbitrator(s): Randolph Guggenheimer, Gregory J. Getz, Brooks White
Hearing Site: New York, NY
| | |
| 10-04093 | 01/13/2015 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Walter A. Saurack
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): Joseph A. Forgione, Randolph Guggenheimer, Arthur Best
Hearing Site: New York, NY
| | |
| 11-02379 | 07/12/2012 | Claimant(s): Point Capital Markets, Point Capital Partners
Claimant Lawyers(s): James Mahon
Respondent(s): Whitney Quillen
Respondent Lawyers(s): Stephen DeRosa
Arbitrator(s): Randolph Guggenheimer, Peter P. Skomorowsky, Martin Deignan Dehler
Hearing Site: New York, NY
| | |
| 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
| | |
| 09-03237 | 08/24/2010 | Claimant(s): Hilary Shane
Claimant Lawyers(s): Richard M. Asche
Respondent(s): First New York Securities L.L.C.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Jacob Aschkenasy, James S. Hazard, Randolph Guggenheimer
Hearing Site: New York, NY
| | |
| 08-02145 | 04/23/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Frank Kim
Respondent Lawyers(s): Michael A. Smeader
Arbitrator(s): Anthony Vitanza, Randolph Guggenheimer, Alan Kenneth Scheff
Hearing Site: Buffalo, NY
| | |
| 06-04308 | 11/07/2008 | Claimant(s): Andrew Garrett.
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Alan Underberg, Ernest Silano, Robert Rosen, Vincent Ficci, Bishop, Rosen & Co..
Respondent Lawyers(s): David A. Schrader, Eugene M. Underberg, Martin S. Siegel, Vincent C. Ficci
Arbitrator(s): Donald Ferguson, Randolph Guggenheimer, Roy L. Weiss
Hearing Site: New York, NY
| | |
| 07-02910 | 06/06/2008 | Claimant(s): Howard Yee
Claimant Lawyers(s): Alan E. Wolin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Marcie Mintz
Arbitrator(s): Barry Feiden, Camille S. Cooper, Randolph Guggenheimer
Hearing Site: New York, NY
| | |
