| 14-01085 | 02/19/2016 | Claimant(s): Heather Rockwell, NNN Talavi Corporate Park 9
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Anthony Thompson, NNN Capital Corp.
Respondent Lawyers(s): Anthony W. Thompson, Charles Huang
Arbitrator(s): Irene C. Warshauer, Ira S. Cure, Brooks White
Hearing Site: New York, NY
|  | $0 |
| 11-03182 | 10/28/2014 | Claimant(s): Man Fong Wong
Claimant Lawyers(s): John J O'Connell
Respondent(s): 1st Discount Brokerage.
Respondent Lawyers(s): Robert G. Haile
Arbitrator(s): William G. Binckes, Irene C. Warshauer, Alida D. Camp
Hearing Site: New York, NY
| | $5,994 |
| 12-01158 | 02/06/2013 | Claimant(s): Gerald Kaiser
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Gregory Berger, UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James D. Sallah, Polina M. Dostalik
Arbitrator(s): Richard W. Cutler, Irene C. Warshauer, Herman Taub
Hearing Site: New York, NY
| | $0 |
| 10-01995 | 07/08/2011 | Claimant(s): Eugene Barron
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Scott & Stringfellow
Respondent Lawyers(s): Christina M. Hill
Arbitrator(s): Ann Pinciss Berman, Irene C. Warshauer, Henry Maringer
Hearing Site: New York, NY
| | $0 |
| 08-04352 | 12/30/2009 | Claimant(s): Sidney Lieberman IRA
Claimant Lawyers(s): Sara F. Lieberman
Respondent(s): Lyle Flaugher, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katherine M. McGrail
Arbitrator(s): Robert I. Adler, Bernard A. Friedman, Irene C. Warshauer
Hearing Site: New York, NY
| | $0 |
| 08-02537 | 12/23/2009 | Claimant(s): Frank Owens
Claimant Lawyers(s): Lainie E. Cohen
Respondent(s): Linda Barriger, Barriger & Barriger Incorporated
Respondent Lawyers(s): Richard A. Kirby
Arbitrator(s): Jeanne C. Miller, Irene C. Warshauer, Daniel F. Morrissey
Hearing Site: New York, NY
| | $430,800 |
| 08-01911 | 09/24/2009 | Claimant(s): Robert Young
Claimant Lawyers(s): Robert C. Young
Respondent(s): Charles Teixeira, John Loughran, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason D. Lane
Arbitrator(s): Earl S. Schwarz, Irene C. Warshauer, James M. Rhodes
Hearing Site: New York, NY
| | $0 |
| 06-01748 | 11/14/2008 | Claimant(s): Joy Phillips
Claimant Lawyers(s): Thomas C. Jardim
Respondent(s): Joseph Murphy, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Libowksy
Arbitrator(s): Charles L. Prothero, Irene C. Warshauer, Erica Levitt
Hearing Site: Newark, NJ
| | $4,977 |
| 08-00083 | 06/13/2008 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Edward W. Larkin
Respondent(s): Arbco Capital Management, LLP
Respondent Lawyers(s): Hayim Regensberg
Arbitrator(s): Richard W. Cutler, Irene C. Warshauer, Joan Seewald Brodsky
Hearing Site: New York, NY
| | $1,322,100 |
| 04-05795 | 02/22/2008 | Claimant(s): Vincent Bellino
Claimant Lawyers(s): Vincent Bellino
Respondent(s): Wachovia Securities, Frank Kim, John Compton, Patrick Kim
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Cornelius C. Clancy, Bernard Herman, Irene C. Warshauer
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
