| 13-00918 | 06/16/2014 | Claimant(s): Sabina Phillips
Claimant Lawyers(s): Sabina Phillips
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): David Finnegan, Saul Scheier, Thomas M. Amadio
Hearing Site: New York, NY
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| 11-00598 | 08/15/2013 | Claimant(s): Serge Nahas
Claimant Lawyers(s): Theodore G. Eppenstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): David Finnegan, Keely D. Parr, Linda J. Baer, Michael F. Spellman
Hearing Site: New York, NY
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| 12-00260 | 08/08/2013 | Claimant(s): James Nangle
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): SG Americas Securities, Societe Generale
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Martin Jay Siegel, David Finnegan, Peter McClellan Wright
Hearing Site: New York, NY
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| 12-00550 | 10/15/2012 | Claimant(s): Alessandra Rosenfeld
Claimant Lawyers(s): Alessandra Rosenfeld
Respondent(s): Susquehanna Financial Group, LLLP
Respondent Lawyers(s): Caron L. Alberts
Arbitrator(s): Irwin Kahn, David Finnegan, Thomas Naylor
Hearing Site: New York, NY
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| 11-03086 | 05/04/2012 | Claimant(s): Bernard Parker, Edward Jones
Claimant Lawyers(s): Dennis J. Capriglione
Respondent(s): Mary Falloon
Respondent Lawyers(s): Mary Jane Falloon
Arbitrator(s): David Finnegan, Larry Kars, Mary K. Ortegon
Hearing Site: New York, NY
| | Expungement |
| 06-03048 | 12/24/2007 | Claimant(s): Adam Aspes, Catherine Lesterhuis, Curtis Thompson, Jacob Morton, Scott Hootman
Claimant Lawyers(s): Latanishia D. Watters
Respondent(s): Brian Foley, Daniel Joyce, Michael Braun, William Devin Jr., Moor & Cabot Inc., Sal Financial Services., d/b/a Ster, Sterne Agee Capital Markets., Sterne, Agee & Leach.
Respondent Lawyers(s): Latanishia D. Watters, Sander A. Rikleen
Arbitrator(s): Paul J. Camilleri, David Finnegan, John F. Duane
Hearing Site: New York, NY
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