| 20-02377 | 11/08/2021 | Claimant(s): Michael Robinson
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Jeffrey Kemp, Janney Montgomery Scott LLC
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Martin A. Feigenbaum, Lawrence S. Silver, Marvin S. Lava
Hearing Site: Boca Raton, FL
|  | Expungement |
| 18-04276 | 09/26/2019 | Claimant(s): Edward Trieber
Claimant Lawyers(s): Barry Bordetsky
Respondent(s): Edward Herbst, Wellington Shields & Co.
Respondent Lawyers(s): Neil A. Sussman
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | $0 |
| 16-02878 | 12/14/2017 | Claimant(s): Anthony Morello, Donna Morello
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): Wellington Shields & Co.
Respondent Lawyers(s): Neil A. Sussman
Arbitrator(s): Catherine Stewart, Martin R. Cramer, Peter L. Michaelson
Hearing Site: Newark, NJ
| | $0 |
| 14-02852 | 12/01/2016 | Claimant(s): Omega Facility Services Solutions Surety
Claimant Lawyers(s): Brandon S. Steele
Respondent(s): Edward Herbst, Wellington Shields & Co.
Respondent Lawyers(s): Neil A. Sussman
Arbitrator(s): Thomas H. Barnard, Christopher M. McMurray, John C. Aten
Hearing Site: Charleston, WV
| | $0 |
| 12-00733 | 05/06/2014 | Claimant(s): Anthony Averett
Claimant Lawyers(s): Steven M. Green
Respondent(s): Guy Ule, Wellington Shields & Co.
Respondent Lawyers(s): Neil A. Sussman
Arbitrator(s): Laura Carraher, Martin A. Edelstein, Linda J. Baer
Hearing Site: New York, NY
| | $130,000 |
| 09-04454 | 12/23/2010 | Claimant(s): Collins Capital LLC
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Jeffrey Samsen, J.P. Morgan Securities, Bear Stearns Asset Backed Securities Fun, Bear Stearns Asset Management Inc., Bear Stearns Securities Clearing Corp, Bear, Stearns & Co.., J.P. Morgan Chase & Co., J.P. Morgan Clearing Corp., The Bear Stearns Companies.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Alan S. Braunshweiger, Daniel Robbins, Michele S. Riley
Hearing Site: New York, NY
| | Expungement |
| 09-03526 | 09/17/2010 | Claimant(s): Viola McNeill
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Aaron Francis, Fidelity Brokerage Services LLC, William Laws
Respondent Lawyers(s): Elizabeth A. Marino
Arbitrator(s): Donald J. Zoeller, John Cleaveland Palmer, Kenneth Paul Williams
Hearing Site: New York, NY
| | $92,124 |
| 09-02843 | 04/27/2010 | Claimant(s): Ettore Stratta, Patricia Stratta
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Andrew Wolff, Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | $67,114 |
| 09-00861 | 09/01/2009 | Claimant(s): Helen Howard
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Wells Fargo Investments, David Logsdon
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): William G. Binckes, Carol E. Weir, Kevin B. Naughten
Hearing Site: New York, NY
| | Expungement |
