| 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
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| 09-05042 | 12/12/2013 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Mark J. Alonso
Respondent(s): Robert Loftus
Respondent Lawyers(s): Jeffrey L. Liddle
Arbitrator(s): Hugh N. Fryer, Joseph A. Forgione, Kenneth Paul Williams
Hearing Site: New York, NY
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| 12-02119 | 08/06/2013 | Claimant(s): Richard Lumelleau
Claimant Lawyers(s): John D. Singer
Respondent(s): Rencap Securities.
Respondent Lawyers(s): Brian L. Friedman
Arbitrator(s): Mitchell S. Friedman, Joseph A. Forgione, W. Alexander Melbardis
Hearing Site: New York, NY
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| 09-03283 | 10/11/2010 | Claimant(s): Richard Rothaar
Claimant Lawyers(s): David B. Wechsler
Respondent(s): Standard Credit Securities Inc.
Respondent Lawyers(s): Chaim A. Levin
Arbitrator(s): Joseph A. Forgione, Annamaria Boccia Smith, David Serko
Hearing Site: New York, NY
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