| 13-00570 | 06/19/2015 | Claimant(s): Michael Regina, Patrick Teutonico
Claimant Lawyers(s): Michael Regina, Patrick Teutonico
Respondent(s): Matthew DiGregorio
Respondent Lawyers(s): Gus Michael Farinella
Arbitrator(s): Mark Hammaren, Cheryl H. Agris, Ann P. Bruch
Hearing Site: New York, NY
| | $0 |
| 14-02769 | 06/19/2015 | Claimant(s): Geoffrey Vanderpal
Claimant Lawyers(s): David E. Robbins
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Rebecca J. Nelson
Arbitrator(s): Daniel M. Yamshon, Linda P. Drucker, Scott Robert Shewan
Hearing Site: San Francisco, CA
| | $0 |
| 14-03080 | 06/19/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
| | $0 |
| 15-00105 | 06/18/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Michael Lauer
Respondent Lawyers(s): Michael Harris Lauer
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | $0 |
| 13-02035 | 06/17/2015 | Claimant(s): Julia Numair
Claimant Lawyers(s): John D. Singer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Mary A. Dubas, James M. Rhodes, David J. Weisenfeld
Hearing Site: New York, NY
| | $0 |
| 13-02494 | 06/17/2015 | Claimant(s): Carlos Questell
Claimant Lawyers(s): Jonathan Sack
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Allan S. Bloom
Arbitrator(s): Linda R. Alpert, Howard D. Jacob, Bartley F. Flaherty
Hearing Site: New York, NY
| | $0 |
| 14-01198 | 06/17/2015 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Clarence Frisbee
Respondent Lawyers(s): Lowell N. Hawkes
Arbitrator(s): Thomas R. Dreiling, Diane Kelley Golbeck, Linda M. Edwards
Hearing Site: Helena, MT
| | $0 |
| 13-00564 | 06/16/2015 | Claimant(s): Blackbook Capital LLC
Claimant Lawyers(s): Frank I. Ogele
Respondent(s): Raffael Riverso
Respondent Lawyers(s): Raffael Giglio Riverso
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
| | $0 |
| 13-00608 | 06/16/2015 | Claimant(s): Gleacher & Company Securities.
Claimant Lawyers(s): David Hille
Respondent(s): Alexander Diss, Andrew Hain, Brian Taddeo, Douglas Coy, Edward Doyle, Jane Mikorenda, Jeffrey Sprengel, John Campbell, John Fleming, Marc Santodomingo, Mark Bryant, Mark Colm, Matthew Swope, Michael Tama, Nicholas Casesa, Robert W. Baird & Co. Incorporated, Peter Brady, Richard Rossi, Robert Haviland, Thomas Lobue, et al
Respondent Lawyers(s): Jonathan D. Miller
Arbitrator(s): Hugh N. Fryer, John Daly, Rebecca Ann Berlow
Hearing Site: New York, NY
| | $0 |
| 13-03132 | 06/16/2015 | Claimant(s): David Unger
Claimant Lawyers(s): David Wayne Unger
Respondent(s): Tangent Capital Partners
Respondent Lawyers(s): Howard R. Elisofon
Arbitrator(s): Fred S. Pieroni
Hearing Site: New York, NY
| | $0 |
