| 13-00016 | 02/18/2015 | Claimant(s): Jay Lehman, Lawrence Monaldo, Sheldon Sevinor, David Cormier DDS Pension Plan, Northshore Oral Surgery Group PC, Plastic Surgery Services FBO: S. Sevinor
Claimant Lawyers(s): Dimitri Nemirovsky, Kevin D. Galbraith
Respondent(s): Jack Brimberg, Jay Tomlinson, William Lewis, Brimberg & Co., Monarch Capital Group
Respondent Lawyers(s): Allen C. Miller, Robert L. Herskovits, Thomas J. Fleming
Arbitrator(s): Hugh N. Fryer, Joel P. Mellis, John Nino Brenkovich
Hearing Site: New York, NY
|  | $56,703 |
| 12-04323 | 10/10/2014 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s): Arthur Wiener and Paulette Wiener
Respondent Lawyers(s): Justin D'elia
Arbitrator(s): Jeffrey F. Friedman, Joel P. Mellis, Robert E. Anderson
Hearing Site: New York, NY
| | $0 |
| 12-02066 | 07/22/2013 | Claimant(s): John Santiago
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Joel P. Mellis
Hearing Site: New York, NY
| | Expungement |
| 09-05606 | 07/12/2012 | Claimant(s): John Taimanglo
Claimant Lawyers(s): John Taimanglo
Respondent(s): E*Trade Securities LLC, E*Trade Clearing LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Joel P. Mellis, Bernard J. McGuire, Salvatore J. Bate
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 |
| 05-01577 | 03/25/2011 | Claimant(s): Bounty International Limited, Good Regent International Limited, Wisdom Century Development Limited
Claimant Lawyers(s): Theodore G. Eppenstein
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Michael J. Dell
Arbitrator(s): Joel P. Mellis, Mindi R. Parrott
Hearing Site: New York, NY
| | $0 |
| 09-02630 | 12/02/2010 | Claimant(s): James Dunning
Claimant Lawyers(s): Jon Paul Robbins
Respondent(s): Brian Hirsch, Martin Shafiroff, Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Joel P. Mellis, Abigail J. Pessen, Stephen J. Patti
Hearing Site: New York, NY
| | $0 |
| 09-01735 | 11/16/2010 | Claimant(s): Jacqueline Frost, Est. of John M. Frost by Richard Scheyer
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Michael Kresh, H.D. Vest Investment Services. Inc., Royal Alliance Associates.
Respondent Lawyers(s): Gary S. Kessler, Jonathan C. Thau
Arbitrator(s): Philip M. Mandel, Joel P. Mellis, Peter P. Skomorowsky
Hearing Site: New York, NY
| | $0 |
| 09-01122 | 11/04/2009 | Claimant(s): American Stone.
Claimant Lawyers(s): Jennifer M. Jordan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): Daniel B. Berkson, Jeanne C. Miller, Joel P. Mellis
Hearing Site: New York, NY
| | $0 |
| 07-01850 | 06/10/2008 | Claimant(s): Nicola Dellaquila
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): White Pacific Securities.
Respondent Lawyers(s): Robert T. Sullwold
Arbitrator(s): John Cleaveland Palmer, Joel P. Mellis, Wayne P. Greene
Hearing Site: New York, NY
| | $129,600 |
