18-03006 | 03/22/2019 | Claimant(s): Howard Siegel Claimant Lawyers(s): Howard Siegel Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): Thomas E. Shuck Hearing Site: Las Vegas, NV
| | $0 |
18-01909 | 01/23/2019 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Justin M. Garbaccio Respondent(s): Derrick Beard, DuSable Group International dba DGI INC Respondent Lawyers(s): Corporate Office, Derrick Beard Arbitrator(s): Robert F. Saint-Aubin Hearing Site: Las Vegas, NV
| | $0 |
18-00375 | 08/13/2018 | Claimant(s): Mukund Vasa Claimant Lawyers(s): Mukund L. Vasa Respondent(s): National Financial Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): Kirtley M. Thiesmeyer Hearing Site: Las Vegas, NV
| | $0 |
17-02087 | 04/30/2018 | Claimant(s): Timofey & Evgeniya Zharikova Claimant Lawyers(s): John Salvino Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Garrett R. Wynne Arbitrator(s): Elliott David Finkel Hearing Site: Las Vegas, NV
| | $0 |
16-03171 | 03/29/2018 | Claimant(s): Carol S. Warman, IRA, Paul Warman, Warman Revocable Trust dated 10-09-98 Claimant Lawyers(s): Alan C. Friedberg Respondent(s): Morgan Stanley, George Manska, Lynda Schultz Respondent Lawyers(s): Nicholas N. George Arbitrator(s): Larry Edmonson, A. Joel Klein, Daniel Clay McGuire Hearing Site: Las Vegas, NV
| | Expungement |
16-00812 | 01/25/2018 | Claimant(s): Petra Latch, Criterion Group Inc.fka The Randal Compa, Peve, Peve Defined Benefit Pension Plan, Randall Company Defined Benefit Pension Claimant Lawyers(s): David Mincin Respondent(s): Christine Soscia, Steven BeattyL Independent Advisor Services Group, Respondent Lawyers(s): David Freniere, Jay Young Arbitrator(s): Benjamin F. Breslauer, Robert E. Jenks, Daniel Clay McGuire Hearing Site: Las Vegas, NV
| | Expungement |
17-01621 | 01/16/2018 | Claimant(s): Joy Rosen, Joy Rosen IRA Claimant Lawyers(s): Mark A. Tepper Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Deirdre Wolff Esq. Arbitrator(s): Barry A. Fisher Hearing Site: Las Vegas, NV
| | $70,600 |
16-01140 | 10/24/2017 | Claimant(s): Leticia Castro, GrupoMex Holdings Claimant Lawyers(s): Chaz R. Brown, John Rogers Respondent(s): James Fellus, Pershing LLC, John Burke, Lawrence Sanicola, Braver Stern Securities LLC Respondent Lawyers(s): Andrew R. Harvin, James Benjamin Fellus, Lawrence Sanicola, Thomas G. Amon Arbitrator(s): Michael Dean, Kendall C. Reed, Michael John Florio Hearing Site: Las Vegas, NV
| | $0 |
16-03314 | 10/16/2017 | Claimant(s): Jacqueline Harrigan, Jacqueline Bose Harrigan Trust Claimant Lawyers(s): Jacqueline Bose Harrigan Respondent(s): Ricardo Cabrera, G.F. Investment Services Respondent Lawyers(s): Alan L. Sachs, Geoffrey A. Frazier Arbitrator(s): A. Joel Klein, Royetta M. Jones, Augusta Massey Hearing Site: Las Vegas, NV
| | Expungement |
17-00165 | 06/12/2017 | Claimant(s): Paul Michel Claimant Lawyers(s): Paul Michel Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith Hoffman Arbitrator(s): Thomas E. Shuck Hearing Site: Las Vegas, NV
| | $0 |