| 17-01369 | 07/18/2019 | Claimant(s): Ajay Ahuja, Nicholas Ahuja, Dr. Ajay Ahuja Deutsche Bank IRA Account
Claimant Lawyers(s): David E.. Robbins
Respondent(s): Deutsche Bank Securities., David Fleming, Stifel, Nicolaus & Co.., Sterne, Agee & Leach.
Respondent Lawyers(s): David Wilson Fleming, Richard H. Kuhlman, Toby S. Soli
Arbitrator(s): Rory M. McLaughlin, Steven C. Kasarda, Suzanne L. Ulicny
Hearing Site: New York, NY
|  | $793,605 |
| 15-02136 | 11/20/2017 | Claimant(s): Trust No. 911 A/KA Banco Invex S.A
Claimant Lawyers(s): Brian Levin
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Mary Ann Tunick, Donald K. Eckhardt, Robert Alan Meyer
Hearing Site: Houston, TX
| | Expungement |
| 15-01304 | 10/31/2017 | Claimant(s): Richard Kosinski
Claimant Lawyers(s): Stephen J. Rodman
Respondent(s): Deutsche Bank Securities., Daniel Ryan, Eric Philippi
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Ericka B. Gray, James R. Collins, Merriann Panarella
Hearing Site: Boston, MA
| | $0 |
| 14-02143 | 12/23/2016 | Claimant(s): Alfa SCA, Dinastia SCA, FJC SCA, Los Chicos SCA, Nuevo Mundo SCA
Claimant Lawyers(s): Brian Levin
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Michael Lau, Marsha Matson, Stanley Zamor
Hearing Site: Miami, FL
| | Expungement |
| 14-02634 | 11/16/2015 | Claimant(s): Harold Kornblum
Claimant Lawyers(s): Gary A. Praglin
Respondent(s): Bruce Treitman, Deutsche Bank Securities.
Respondent Lawyers(s): Mark Parmelee
Arbitrator(s): Carl Shechter, David Rich, Richard S. Herman
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-02777 | 04/10/2015 | Claimant(s): Pershing LLC
Claimant Lawyers(s): Jane L. Myers
Respondent(s): Deutsche Bank Securities., Hugh Stevenson
Respondent Lawyers(s): Robert Heim, Todd Ratner
Arbitrator(s): Ann Pinciss Berman, Ernesto V. Luzzatto, Kumar Atmakuri Ram
Hearing Site: New York, NY
| | $0 |
| 10-04381 | 11/19/2014 | Claimant(s): Antonio Cagnolo, Arlene Webber, Farrokh Alaghband, Guita Shahrestany, Irene Martino, Lucio Martino, Mark Webber, Nick Shahrestany, Pejmon Tagizad, Peter Spataro, Stephanie Alaghband, 10100 Culver City LLC, Apollo Investments., F&A Holdings., Milan Investments, The Martino Family Trust dtd 7/2/00, The Webber 1990 Revocable Trust, Zia Shahrestany Trust
Claimant Lawyers(s): Gary A. Praglin
Respondent(s): Bruce Treitman, Deutsche Bank Securities.
Respondent Lawyers(s): Mark Parmelee, Paul J. Schumacher
Arbitrator(s): Robert F. Saint-Aubin, George Frederick Garris, Adam Michael Porter
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-02741 | 09/26/2014 | Claimant(s): Nestor Fernandez
Claimant Lawyers(s): Michael M. Mincieli
Respondent(s): Deutsche Bank Securities., Wells Fargo Securities
Respondent Lawyers(s): David Guidry, Matthew Kalinowski
Arbitrator(s): Peter A. Cartwright, Barry David Thorpe, Robert G. Geeseman
Hearing Site: Miami, FL
| | $0 |
| 11-02201 | 12/11/2013 | Claimant(s): Jeffery Citron, Ron Purpora, Steve McDermott, KEC Holdings, RGP Capital, SMCB Capital, Kyra Elise Citron 1999 Descendants Annui, Noah Aidan Citron 1999 Descendants Annui
Claimant Lawyers(s): Loren Schechter
Respondent(s): Deutsche Bank Securities., James Solano, Deutsche Bank Alex. Brown
Respondent Lawyers(s): Aryeh L. Kaufman, Joshua Klein
Arbitrator(s): Charles A. Crocco, John E. Shine, Edith M. Novack
Hearing Site: Newark, NJ
| | $0 |
| 13-00613 | 11/08/2013 | Claimant(s): Charles Byrd, Dan DeSimoni, Dennis Owens, Doug Reinhart, Greg Stringer, Hammond Hunt, Henry Respess, Irvin Plowden, J. Turner Hunt, Massimo DeSimoni, Maxine Kelley, Michael DeSimoni, Paul Reinhart, Willard Hill, William Hunt, William "Will" Bunker
Claimant Lawyers(s): Scott F. Hessell
Respondent(s): Deutsche Bank Securities., David Parse, Raymond Brubaker, DB Alex. Brown LLC, Deutsche Bank AG
Respondent Lawyers(s): Allan N. Taffet, Keith E. Blackman, Kevin E. O'Reilly, Paul H. Schoeman, The Company President
Arbitrator(s): Joseph D. Vu, Marilee Roberg, Jacqueline Stanley Lustig
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
