22-01882 | 02/27/2024 | Claimant(s): Esther Kim, Ambrosia Networks LLC Claimant Lawyers(s): Adam Gana Respondent(s): Crown Capital Securities, L.P. Respondent Lawyers(s): Craig R. Bockman Arbitrator(s): Barbara M. Zak, Robert B. Hansohn, Natalie Panossian-Bassler Hearing Site: Los Angeles, CA
| | Expungement |
22-00075 | 08/22/2023 | Claimant(s): Allen Chick Claimant Lawyers(s): David Vermont Respondent(s): John Slipek, Joseph Amato, Nick Filippo, Alexander Capital, L.P. Respondent Lawyers(s): Scott Holcomb Arbitrator(s): Peter Khalil Hearing Site: Portland, OR
| | Expungement |
21-00320 | 05/05/2023 | Claimant(s): Fred Shahan, Wendy Cordell, on behalf of his IRA Claimant Lawyers(s): Samuel B. Edwards Respondent(s): Darol Paulsen, John Nguyen, Jonathan French, Crown Capital Securities, L.P. Respondent Lawyers(s): Craig R. Bockman Arbitrator(s): Barbara M. Zak, Herbert Liberman, Deanna J. Johnson Hearing Site: San Diego, CA
| | $780,220 |
22-00209 | 02/17/2023 | Claimant(s): Harry Barth, Richard Jackman Claimant Lawyers(s): Craig R Bockman Respondent(s): Jeffrey Rosenbery, Antietam Holdings, L.P. Respondent Lawyers(s): Corporate Office, Jeffrey Rosenbery Arbitrator(s): Roberta Haft, Robert E. Jenks, Norman Michael Garland Hearing Site: Los Angeles, CA
| | Expungement |
20-01732 | 05/09/2022 | Claimant(s): Fortezza Investments, L.P. Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David L. Goldberg Arbitrator(s): S. Ronald Daniels, Christopher E. Benjamin, Steven Moore Hearing Site: Boca Raton, FL
| | $0 |
20-01382 | 05/04/2022 | Claimant(s): BAG Securities Fund, L.P., GovPlus Fund AI, NorCap Diversified Premium Fund, NorCap Equity Plus Fund Claimant Lawyers(s): David E. Robbins Respondent(s): Jefferies LLC Respondent Lawyers(s): Francesca Brody Arbitrator(s): David A. Schuler, Eric Ross Cromartie, Christopher John Rowland Hearing Site: Dallas, TX
| | $0 |
20-03262 | 04/29/2022 | Claimant(s): Bluebay Multistrat, L.P. Claimant Lawyers(s): Romain Bruere Respondent(s): Clear Street LLC, Precision Securities Respondent Lawyers(s): Robert M. Bursky Arbitrator(s): Diane M. Perry, Monroe Mitchel, Michael Ross Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12511/12212/12504 |
20-02623 | 09/16/2021 | Claimant(s): FPP CIS Opportunities Fund, L.P. Claimant Lawyers(s): Samuel J. Lieberman Respondent(s): Interactive Brokers LLC Respondent Lawyers(s): David Luger Arbitrator(s): Judith C. Zerden, Kinchen C. Bizzell, Lawrence Williams Hearing Site: New York, NY
| | $1,881,500 |
19-01545 | 06/30/2021 | Claimant(s): Eleven Stones, L.P. Claimant Lawyers(s): W. Barry Blum Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Stacey M. Garrett Arbitrator(s): Herbert N. Ladenheim, Kevin A. Llinas, Robert Lawrence Ostrov Hearing Site: Boca Raton, FL
| | $0 |
18-03984 | 12/04/2020 | Claimant(s): Larry Schmalz, Robin Schmalz Claimant Lawyers(s): Daniel D'Costa Respondent(s): David Spratt, Joseph Amato, Kujtim Lulani, Michael Castillero, Rocco Guidicipietro, Thomas Sullivan, Alexander Capital, L.P. Respondent Lawyers(s): Lawrence R. Gelber, Scott Holcomb Arbitrator(s): Royce Russell, Gerald M. Levine, Peter E. Gillespie Hearing Site: New York, NY
| | Settlement |