| 16-01442 | 03/21/2017 | Claimant(s): Alice Hedberg
Claimant Lawyers(s): Alice L. Hedberg
Respondent(s): Torsten Holmes, Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Pamela H. Roderick, Anthony Michael Sabino, Lisa Catalano
Hearing Site: New York, NY
|  | $0 |
| 13-01636 | 11/27/2013 | Claimant(s): Laidlaw & Company (UK) Ltd.
Claimant Lawyers(s): Richard J. Babnick
Respondent(s): Falcon Investment Partners Limited
Respondent Lawyers(s): Alexandra J. Marinzel
Arbitrator(s): Mary Ellen Burns, Lisa Catalano, Sally Jane Sancimino
Hearing Site: New York, NY
| | $0 |
| 13-00370 | 10/10/2013 | Claimant(s): Jean Bradshaw
Claimant Lawyers(s): Eric J. Grannis
Respondent(s): Chase Investment Services Corp., J.P. Morgan Securities
Respondent Lawyers(s): Matthew B. Corwin
Arbitrator(s): Lisa Catalano
Hearing Site: New York, NY
| | $25,425 |
| 10-03471 | 12/22/2011 | Claimant(s): The Circle Trust UAD, Joan Lane TTEE
Claimant Lawyers(s): Hartley T. Bernstein
Respondent(s): Donna Leone, Laura Sloate, Neuberger Berman LLC, SWM Securities., Sloate, Weisman, Murray & Company.
Respondent Lawyers(s): Compliance Officer, Donna M. Leone, Victor A. Machcinski
Arbitrator(s): Harvey Barrison, Lisa Catalano, Robert S. Clemente
Hearing Site: New York, NY
| | Expungement |
