| 15-03345 | 05/14/2018 | Claimant(s): Titan Capital Group II LLC
Claimant Lawyers(s): Russell Abrams
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Daniel A. Spector
Arbitrator(s): Kip C. Lubcke, John Daly, W. Jeffrey Weinlandt
Hearing Site: New York, NY
|  | Dismissed by Rule 12504/12212 |
| 16-00324 | 08/24/2016 | Claimant(s): Helen Sylvester
Claimant Lawyers(s): Helen Sylvester
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Joseph C. Pickard
Arbitrator(s): John Daly
Hearing Site: New York, NY
| | $0 |
| 11-04582 | 12/18/2013 | Claimant(s): Steven Oberdorfer
Claimant Lawyers(s): Aaron M. Goldsmith
Respondent(s): Ronald Moschetta, Strasbourger Pearson Tulcin Wolff Inc., Todd And Company.
Respondent Lawyers(s): Compliance Officer, Ronald Moschetta
Arbitrator(s): John Daly, Amy Y. Moy, David John Reilly
Hearing Site: New York, NY
| | $100,000 |
| 12-03571 | 10/15/2013 | Claimant(s): Isolde Cooper, George Cooper Irrevocable Trust
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Brian Redican, Citigroup Global Markets.
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Barnard Seligman, John Daly, Richard Bryce Nesson
Hearing Site: New York, NY
| | Expungement |
| 10-01683 | 05/04/2011 | Claimant(s): Robert Baisa
Claimant Lawyers(s): Brian J. Neville
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Juli Aylesworth
Arbitrator(s): Susan C. Lushing, John Daly, Robert I. Adler
Hearing Site: New York, NY
| | $0 |
| 09-01005 | 12/17/2009 | Claimant(s): Richard B. Stickel Revocable Liv. Trust, Susan H. Stickel Revocable Living Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): John Daly
Hearing Site: New York, NY
| | $213 |
| 07-03174 | 06/06/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Antonio Tremino
Respondent Lawyers(s): Antonio Tremino
Arbitrator(s): John Daly
Hearing Site: New York, NY
| | $0 |
