| 20-03526 | 06/22/2023 | Claimant(s): Alprime Capital AG, NorCap Absolute Return Fund UCITS
Claimant Lawyers(s): Sam A. Silverstein
Respondent(s): E D & F Man Capital Markets Inc.
Respondent Lawyers(s): LisaMarie Collins
Arbitrator(s): Daniel Robbins, Anna Lascar, Barry Jay Mandel
Hearing Site: New York, NY
|  | $0 |
| 18-02572 | 03/12/2020 | Claimant(s): David Saxe, Phyllis Saxe, Elana Jill Saxe-Incapaciated Person, Elana Jill Saxe SNI Trust
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Tracey Schusterman, Janney Montgomery Scott LLC
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Fred S. Pieroni, Sandra Gale Behrle, Daniel Robbins
Hearing Site: New York, NY
| | $152,674 |
| 18-02512 | 12/07/2018 | Claimant(s): Brian McDermott, Patricia McDermott
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): J.P. Morgan Securities, Wells Fargo Clearing Services, Kevin Mercer
Respondent Lawyers(s): Heidi E. VonderHeidi, Jeffery Rodgers, Kevin Allen Mercer
Arbitrator(s): Daniel Robbins
Hearing Site: New York, NY
| | $600 |
| 17-03449 | 08/17/2018 | Claimant(s): Robin Tooker
Claimant Lawyers(s): Elissa Germaine
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Daniel Robbins
Hearing Site: New York, NY
| | $48,711 |
| 13-03595 | 07/11/2018 | Claimant(s): EFCO Products Defined Contribution, EFCO Products Defined Contribution Union, EFCO Products Profit Sharing/401(K) Plan
Claimant Lawyers(s): Sandra P. Lanhens
Respondent(s): Candace Weir, C. L. King & Associates.
Respondent Lawyers(s): Christopher Robertson, Richard A. Roth
Arbitrator(s): Dan Brecher, Daniel Robbins, Annamaria Boccia Smith
Hearing Site: New York, NY
| | $0 |
| 16-01492 | 07/14/2017 | Claimant(s): Barbara Blethen, Christopher Wallace, Gerard Gawel, Marie Wallace
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Philip Fatta, Blackbook Capital, Legend Securities.
Respondent Lawyers(s): Franklin Ogele, Philip Orezio Fatta, Salvatore Caruso
Arbitrator(s): Daniel Robbins, Dolores D. Balsamo, Harrison Johnson
Hearing Site: New York, NY
| | $584,796 |
| 12-03470 | 03/26/2014 | Claimant(s): Deborah Bernick
Claimant Lawyers(s): Howard S. Meyers
Respondent(s): Andrew Dorman, Anthony Salino, Buckman, Buckman & Reid.
Respondent Lawyers(s): Andrew Dorman, Anthony John Salino, Mark J. Astarita
Arbitrator(s): Daniel Robbins
Hearing Site: New York, NY
| | $0 |
| 10-05479 | 04/26/2012 | Claimant(s): Frank Criscola
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Daniel Robbins, Herman Taub, Howard Weitz
Hearing Site: New York, NY
| | $159,902 |
| 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 |
| 09-01320 | 11/05/2009 | Claimant(s): The Benward Family Trust DTD 1/17/2000
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Rebecca L. Burnaugh
Arbitrator(s): Daniel Robbins
Hearing Site: New York, NY
| | $25,425 |
