| 15-02168 | 06/21/2016 | Claimant(s): Shane Grimaldi
Claimant Lawyers(s): Jonathan Sack
Respondent(s): MBSC Securities Corporation
Respondent Lawyers(s): Kenneth Kirschner
Arbitrator(s): Cindy B. Eisenberg, Abigail J. Pessen, James Vincent Poma
Hearing Site: New York, NY
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| 14-02042 | 11/20/2015 | Claimant(s): Bret Ackerman
Claimant Lawyers(s): Paul H. Aloe
Respondent(s): Evan Schwartzberg, Mathew Van Alstyne, Bonwick Capital Partners, Odeon Capital Group LLC
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Abigail J. Pessen, Carol Maria Luttati, Brian Lawrence Berlandi
Hearing Site: New York, NY
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| 14-01162 | 04/10/2015 | Claimant(s): John Ames
Claimant Lawyers(s): Ethan Andrew Brecher
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Patrick Shea
Arbitrator(s): Kinchen C. Bizzell, Abigail J. Pessen, Marion F. Posner
Hearing Site: New York, NY
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| 10-05731 | 03/15/2013 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Barney Greengrass
Respondent Lawyers(s): Ethan A. Brecher
Arbitrator(s): Jack Friedman, Abigail J. Pessen, John Nino Brenkovich
Hearing Site: New York, NY
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| 09-01975 | 06/23/2011 | Claimant(s): Gary Goldberg & Co.., Gary Goldberg Planning Services.
Claimant Lawyers(s): Arnold E. Reiter
Respondent(s): Ameriprise Financial Services., Leah Lebovits, Sidney Abramowitz
Respondent Lawyers(s): John Greco, Philip J. Campisi
Arbitrator(s): Michael H. DuBoff, Alfonso G. Figliolia, Abigail J. Pessen
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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| 09-00618 | 11/04/2009 | Claimant(s): Joseph Mattia
Claimant Lawyers(s): Adam D. Mitzner
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patricia A. Tsipras
Arbitrator(s): Thomas Caiaffa, Kenneth Diamond, Abigail J. Pessen
Hearing Site: New York, NY
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| 09-00982 | 10/29/2009 | Claimant(s): Alexej Orloff
Claimant Lawyers(s): Ruthann G. Niosi
Respondent(s): Lazard Asset Management Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Joseph F. Generelli, Susan C. Lushing, Abigail J. Pessen
Hearing Site: New York, NY
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