| 17-01986 | 02/04/2019 | Claimant(s): Nebo Investment Fund LP
Claimant Lawyers(s): Sandra Lahens
Respondent(s): Jefferies LLC
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): David S. Billet, Donald Nevin Gershuny, John Michael Bergin
Hearing Site: New York, NY
|  | $0 |
| 17-01072 | 05/29/2018 | Claimant(s): Brett Diamond, Rebecca Diamond
Claimant Lawyers(s): Howard Meyers
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): David S. Billet
Hearing Site: New York, NY
| | $0 |
| 17-01272 | 01/03/2018 | Claimant(s): David Appel, Gimme Shelter
Claimant Lawyers(s): David W. Appel
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): David S. Billet, Timothy A Meigher, Martin A. Edelstein
Hearing Site: Albany, NY
| | Dismissed by Rule 12206 |
| 16-02085 | 01/17/2017 | Claimant(s): Yin Lee
Claimant Lawyers(s): Yin Lee
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon Schopf
Arbitrator(s): David S. Billet
Hearing Site: New York, NY
| | $0 |
| 13-03678 | 04/01/2015 | Claimant(s): Julianna Cohen-Congress
Claimant Lawyers(s): Robert B. Weintraub
Respondent(s): TD Ameritrade., Samuel Borger, Borger Financial Services, Samuel Borger D/B/A Borger Financial Ser
Respondent Lawyers(s): Dana S. Gloor, John F. Olsen
Arbitrator(s): David S. Billet, Eva H. Posman, Arthur Neil Tolciss
Hearing Site: New York, NY
| | $0 |
| 13-03243 | 01/28/2015 | Claimant(s): Lynette Anderson
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Travis R. Chapin
Arbitrator(s): David S. Billet
Hearing Site: New York, NY
| | Expungement |
| 12-00801 | 04/29/2014 | Claimant(s): Patricia Whitelock
Claimant Lawyers(s): Stephen R. Mahler
Respondent(s): Gregory Mowrer, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): William Hohauser
Arbitrator(s): Stanley M. Ulanoff, David S. Billet, Lloyd H. Slomanson
Hearing Site: New York, NY
| | Expungement |
| 12-01225 | 07/02/2013 | Claimant(s): The Estate of Max Bernstein
Claimant Lawyers(s): Samuel Goldman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): David S. Billet, Paul K. Barenholtz, Bryan Lane Berson
Hearing Site: New York, NY
| | $0 |
| 11-03027 | 04/03/2013 | Claimant(s): Ji Min
Claimant Lawyers(s): Ji Young Min
Respondent(s): Daniel Ladner, David Prockter, UBS Financial Services Inc.
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): David S. Billet, Fred L. Simon, William G. Haviland
Hearing Site: New York, NY
| | $0 |
| 10-03067 | 01/05/2012 | Claimant(s): Nicole Perry
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Michael J. McAllister
Arbitrator(s): David S. Billet, John J. Witkowski, Martin H. Jaffe
Hearing Site: New York, NY
| | $6,109,110 |
