| 14-00257 | 03/01/2016 | Claimant(s): Penson Technologies LLC
Claimant Lawyers(s): Virgina C. Palitz
Respondent(s): Opus Trading Fund LLC
Respondent Lawyers(s): Michael R. Yellin
Arbitrator(s): Leonard M. Bakal, Jeffrey F. Friedman, Eric S. Hutner
Hearing Site: New York, NY
| | $0 |
| 14-01639 | 03/01/2016 | Claimant(s): Marc Nolan
Claimant Lawyers(s): David Cosgrove
Respondent(s): Michael Gelina, MetLife Securities.
Respondent Lawyers(s): Lawrence R. Goldberg, Martin Harris
Arbitrator(s): Keith E. Mattern, Kim L. Kirn, Joseph K Marshall
Hearing Site: St. Louis, MO
| | $0 |
| 13-02084 | 02/26/2016 | Claimant(s): Jonathan Jacoby
Claimant Lawyers(s): Laurence S. Moy
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Leah G. Rabinowitz, Margarita Echevarria, Nancy Kramer
Hearing Site: New York, NY
| | $0 |
| 13-00385 | 02/24/2016 | Claimant(s): Kevin Taalman
Claimant Lawyers(s): Lou Karnezis
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Daniel R. Formeller
Hearing Site: Chicago, IL
| | $0 |
| 10-05583 | 02/23/2016 | Claimant(s): John Delaney
Claimant Lawyers(s): Jonathan Honig
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Patrick J. Lamparello
Arbitrator(s): Karen Isabel Bedrosian - Richardson, Toby Susan DeSimone, Adam M. Kauff
Hearing Site: New York, NY
| | $0 |
| 14-00986 | 02/23/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Brandon Neal
Respondent Lawyers(s): Michael A. Valenti
Arbitrator(s): Amelia F. Adams, Anthony G. Belak, Martin Augustus Graf
Hearing Site: Louisville, KY
| | $0 |
| 14-01061 | 02/23/2016 | Claimant(s): Rochdale Securities LLC
Claimant Lawyers(s): Aaron Romney
Respondent(s): Daniel Crowley, Pershing LLC
Respondent Lawyers(s): Christopher J. Major, Daniel R. Korb
Arbitrator(s): Paul Bennett Marrow, Michele S. Riley, Raymond A. Urci
Hearing Site: New York, NY
| | $0 |
| 14-02529 | 02/23/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Gary Torrey
Respondent Lawyers(s): Gary Torrey
Arbitrator(s): William M. Koziol
Hearing Site: Chicago, IL
| | $0 |
| 14-02566 | 02/23/2016 | Claimant(s): Edward Andrew, Mark Hepworth
Claimant Lawyers(s): Kim Thorne, Scott A. Stewart
Respondent(s): Southwest Securities.
Respondent Lawyers(s): John T. Gerhart
Arbitrator(s): Daniel C. Dooley, Henry J. Ackels, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $0 |
| 15-01493 | 02/22/2016 | Claimant(s): Anita D'Aguilar, David Schachter
Claimant Lawyers(s): Christine A. Page
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Erin Weesner-McKinley
Arbitrator(s): Richard J. Stall
Hearing Site: Los Angeles, CA
| | $0 |
