| 12-01388 | 02/20/2014 | Claimant(s): C. Lewis, as Receiver
Claimant Lawyers(s): John A. Chanin
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Peter J. Macdonald
Arbitrator(s): Samuel E. Wing, Martha Wheatley Thomas, Daniel Francis Wake
Hearing Site: Denver, CO
|  | $0 |
| 12-01693 | 09/16/2013 | Claimant(s): Saddlebag
Claimant Lawyers(s): David M. Levy
Respondent(s): Jefferies & Company., Jefferies Group.
Respondent Lawyers(s): Hal S. Shaftel
Arbitrator(s): John W. Guy, Gary P. Price, James A. Klimek
Hearing Site: Indianapolis, IN
| | $7,000,000 |
| 11-02937 | 07/01/2013 | Claimant(s): Protostar I Litigation Trust
Claimant Lawyers(s): Elizabeth Wolstein
Respondent(s): Paul Deninger, Richard Morrison, Jefferies & Company.
Respondent Lawyers(s): Hal S. Shaftel
Arbitrator(s): Lise Gabrielle Hunter, Walter D. Goldsmith, J.D., Phillip Weitzman
Hearing Site: New York, NY
| | $566,667 |
| 10-04868 | 07/05/2012 | Claimant(s): SCO Capital Partners LLC
Claimant Lawyers(s): David H. Wollmuth
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Brett D. Jaffe
Arbitrator(s): Cynthia A. DiMarco, Benjamin L. Anderson, Thomas A. Abitabile
Hearing Site: New York, NY
| | $0 |
| 09-06138 | 05/07/2012 | Claimant(s): Keryx Biopharmaceuticals.
Claimant Lawyers(s): Robert Knuts
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Martin J. Auerbach
Arbitrator(s): J. Martin McDonough, Jeanne C. Miller, Judith P. Brooks
Hearing Site: New York, NY
| | $1,824,120 |
| 09-07248 | 07/06/2011 | Claimant(s): Clifford Diver, Elaine Royce, Peter Jenkins, Hans L. Carstensen III, IRA, Michael L. Blau IRA, Nader Darehshori, Thomas J. Bucknum, Besty S. Pollack Trust by Besty S. Polla, Darren R. Scandone Trust by Darren R. Sc
Claimant Lawyers(s): Marjorie S. Cooke
Respondent(s): Michael Munson, Jefferies & Company.
Respondent Lawyers(s): John R. Snyder
Arbitrator(s): Nancy E. Watters, David J. Kaufman, Gene M. Bauer
Hearing Site: Boston, MA
| | $0 |
| 09-02736 | 12/30/2010 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Allan N. Taffet
Respondent(s): Enable Capital Management, Jefferies & Company., Enable Growth Partners
Respondent Lawyers(s): Alyson M. Weiss, Michael J. Baker
Arbitrator(s): Jonathan H. Krotinger, Mary Margaret Bush, Mary Kay Higgins Crockett
Hearing Site: San Francisco, CA
| | $0 |
| 09-05032 | 12/15/2010 | Claimant(s): Ensco International Incorporated
Claimant Lawyers(s): Robert L. Wright
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Martin J. Auberbach
Arbitrator(s): Robert E. Treadaway, Edward J. Lynch, James W. Kerr
Hearing Site: Dallas, TX
| | $0 |
| 09-01514 | 11/03/2010 | Claimant(s): RAM Investors LP Jefferies, RLM Family Trust Jefferies, Ron & Lucille Matricaria Family Trust
Claimant Lawyers(s): David E. Robbins
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Brett D. Jaffe
Arbitrator(s): Charles R. Berry, Stephanie P. Lebhar, Sheila Grinell
Hearing Site: Phoenix, AZ
| | $0 |
| 09-02188 | 10/07/2010 | Claimant(s): John Patience, The John Patience Trust
Claimant Lawyers(s): James L. Kopecky, Kevin M. Flynn
Respondent(s): Jefferies & Company., Jefferies Investment Advisers
Respondent Lawyers(s): Matthew C. Applebaum
Arbitrator(s): John K. Notz, Henry G. Nothnagel, Samuel B. Garber
Hearing Site: Chicago, IL
| | $0 |
