| 16-02629 | 03/22/2018 | Claimant(s): National Financial Services LLC
Claimant Lawyers(s): Michael G. Shannon
Respondent(s): Frank Aguilar, Jason Garofalo, Tricor Financial
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Anthony D. DeToro, Dean C. Abraham, Mark S. Priver
Hearing Site: Las Vegas, NV
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| 11-02308 | 05/04/2012 | Claimant(s): Rodney Plaskett
Claimant Lawyers(s): Rodney A. Brown
Respondent(s): Ledgemont Capital Group, Ledgemont Securities LLC
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Philip M. Mandel, Jack Friedman, Aubrey Lees
Hearing Site: New York, NY
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| 10-03161 | 04/19/2012 | Claimant(s): Whitney Quillen
Claimant Lawyers(s): Whitney Staples Quillen
Respondent(s): Edward Neugeboren, Ledgemont Capital Markets LLC
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Joseph J. Arata, Anthony George Gero, Annamaria Boccia Smith
Hearing Site: New York, NY
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| 11-02647 | 12/12/2011 | Claimant(s): David Lerner Associates.
Claimant Lawyers(s): Michael G. Shannon
Respondent(s): Benjamin Lingenfelter
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): William Wong, Noel B. Berman, Michael C. Cantor
Hearing Site: New York, NY
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| 10-04194 | 02/08/2011 | Claimant(s): David Lerner Associates.
Claimant Lawyers(s): Michael G. Shannon
Respondent(s): David Asulin
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Simon S. Kogan, Harrison Johnson, Mark J. Russell
Hearing Site: New York, NY
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| 07-01486 | 02/02/2009 | Claimant(s): Sloan Securities Corp.
Claimant Lawyers(s): Paul A. Liberman
Respondent(s): Harry Friedman, Prestige Financial Center.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Robina Fedora Asti, Steven David Leader, Salvatore J. Bate
Hearing Site: New York, NY
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