| 09-06473 | 10/03/2012 | Claimant(s): The Segue Foundation., James Sherry IRA Account, Shirley Sherry Revocable Trust DTD 09/22
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Thomas Briody
Arbitrator(s): Susan C. Lushing, Christian Leslie Billet, Susan Y. Chin
Hearing Site: New York, NY
|  | Expungement |
| 10-05193 | 10/12/2011 | Claimant(s): Ronald Altman
Claimant Lawyers(s): Curtis E. Pew
Respondent(s): David Benedict, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): Susan C. Lushing
Hearing Site: New York, NY
| | $6,494 |
| 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 |
| 08-04709 | 05/06/2010 | Claimant(s): Roger Gimbel
Claimant Lawyers(s): Arthur M. Handler
Respondent(s): Stephen Degroat, Jesup & Lamont Securities Corp
Respondent Lawyers(s): Michael Kalmus, Todd Zuckerbrod
Arbitrator(s): Susan C. Lushing, John B. Sprung, James M. Rhodes
Hearing Site: New York, NY
| | $0 |
| 08-05023 | 12/09/2009 | Claimant(s): Jonathan Mandell and Margaret Mandell
Claimant Lawyers(s): Richard G. Menaker
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Catherine Ladnier, Susan C. Lushing, Peter A. Goldman
Hearing Site: New York, NY
| | $0 |
| 08-03717 | 10/28/2009 | Claimant(s): Suzanne Stadler-D'vir, JTLG Corp., Stonehouse Equities.
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Alice Solomon, Timothy Daly
Respondent Lawyers(s): Chad N. Cagan, Timothy James Daly
Arbitrator(s): Vicki Z. Holleman, Susan C. Lushing, Rebecca A. Novak
Hearing Site: New York, NY
| | $70,000 |
