| 15-00226 | 07/13/2015 | Claimant(s): Gerald Sharpe, National Securities Corporation, Sharpco International
Claimant Lawyers(s): Paul A. Lieberman
Respondent(s): Michael Farrell
Respondent Lawyers(s): James Farrell
Arbitrator(s): Barbara Weisman
Hearing Site: Newark, NJ
| | $0 |
| 13-00287 | 07/09/2015 | Claimant(s): Guy Gregoire
Claimant Lawyers(s): David A. Gehn
Respondent(s): Pershing LLC, BNY Mellon Capital Markets
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Thomas Caiaffa, Martin A. Edelstein, Keely D. Parr
Hearing Site: New York, NY
| | $0 |
| 13-03576 | 07/08/2015 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Ken M. Fitzgerald
Respondent(s): James Wohlford, Penney Sick
Respondent Lawyers(s): D. Greg Durbin, Ken M. Fitzgerald
Arbitrator(s): Arthur T. Berggren, Kevin Joseph Pilon, Ethan Joseph Brown
Hearing Site: Los Angeles, CA
| | $0 |
| 14-03875 | 07/08/2015 | Claimant(s): Clark Dodge & Co..
Claimant Lawyers(s): Katie Ambroziak
Respondent(s): Steven Bencivenga
Respondent Lawyers(s): Michael Utilla
Arbitrator(s): Stephen A. Weiner
Hearing Site: New York, NY
| | $0 |
| 13-02805 | 07/07/2015 | Claimant(s): Christine McBroom
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): Edward Jones
Respondent Lawyers(s): Will P. Riffelmacher
Arbitrator(s): Frank R Weaver, Pamela S. Mann, James G. Gillivan
Hearing Site: San Francisco, CA
| | $0 |
| 14-00264 | 07/07/2015 | Claimant(s): Edgar Ramirez, Rene Joliot, Romel Rodriguez
Claimant Lawyers(s): Jacob W. Buchdahl
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Howard D. Jacob, Irwin Pronin, Roger B. Jacobs
Hearing Site: New York, NY
| | $0 |
| 14-00472 | 07/07/2015 | Claimant(s): Kathleen Olivari
Claimant Lawyers(s): Ernest Sasso
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joe Gehring
Arbitrator(s): Faye Riva Cohen, James M. Rhodes, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | $0 |
| 13-01343 | 07/06/2015 | Claimant(s): John Boris
Claimant Lawyers(s): Kevin M. Kiernan
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Kip C. Lubcke, Camille S. Cooper, Bertrand M. Lanchner
Hearing Site: New York, NY
| | $0 |
| 14-01821 | 07/01/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Mark Primrose
Respondent Lawyers(s): Mark Primrose
Arbitrator(s): James A. Lundberg
Hearing Site: Des Moines, IA
| | $0 |
| 14-01860 | 06/30/2015 | Claimant(s): Albert Safdie
Claimant Lawyers(s): Eugene Neal Kaplan
Respondent(s): Nathan Low, Sunrise Securities Corp.
Respondent Lawyers(s): George Brunelle
Arbitrator(s): Stephen A. Weiner
Hearing Site: New York, NY
| | $0 |
