| 16-03179 | 01/18/2018 | Claimant(s): Gigi Jordan, The Hawk Mountain LLC, Michelle Mitchell, Intercession Trust
Claimant Lawyers(s): Daniel J. Kornstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth I. Schacter
Arbitrator(s): Judith C. Zerden, Ronald F. Rosner, Maya Steinitz
Hearing Site: New York, NY
|  | Dismissed by Rule 12206 |
| 15-00996 | 07/05/2016 | Claimant(s): Anthony Romano
Claimant Lawyers(s): Adam Nicolazzo
Respondent(s): Garden State Securities.
Respondent Lawyers(s): Martin P. Unger
Arbitrator(s): Carole L. Green, Cheryl H. Agris, Ronald F. Rosner
Hearing Site: New York, NY
| | $142,168 |
| 15-00286 | 04/12/2016 | Claimant(s): Alan Silverstein, Karen Silverstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Cutler, James S. Hazard, Ronald F. Rosner
Hearing Site: New York, NY
| | $0 |
| 14-02874 | 07/28/2015 | Claimant(s): Mehmet Erkul
Claimant Lawyers(s): Mehmet Ercan Erkul
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Elliot Berman, Ronald F. Rosner, Louis P. Wagman
Hearing Site: New York, NY
| | $0 |
| 09-03437 | 02/17/2012 | Claimant(s): Mary Rote, William Rote, E.W. Jamison Living Trust dtd 3/28/92
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): George Sullivan
Arbitrator(s): Joel P. Mellis, Randolph Guggenheimer, Ronald F. Rosner
Hearing Site: Memphis, TN
| | $400,000 |
| 08-04263 | 12/21/2009 | Claimant(s): Richard Berman and Dorothy Berman
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Bear, Stearns & Co..
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Ronald F. Rosner, Howard Weitz, Alice Holly Oshins
Hearing Site: New York, NY
| | $0 |
