| 16-00506 | 08/12/2016 | Claimant(s): Damon Binder
Claimant Lawyers(s): David Meyer
Respondent(s): Anthony Fusco, Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Susan M. Thevenet
Hearing Site: Des Moines, IA
|  | $50,600 |
| 15-00994 | 06/16/2016 | Claimant(s): Waddell Jeffries
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Bertrand C. Moser, Alan M. Holzberg, Daniel Stephen Dexter
Hearing Site: Houston, TX
| | $80,600 |
| 15-01041 | 05/25/2016 | Claimant(s): Martin Brewer, Richard Weber
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Nicholas John Taldone, Diana A. Weiner, Jacquelyn M. Shannon
Hearing Site: Tampa, FL
| | $161,030 |
| 14-01705 | 07/08/2015 | Claimant(s): Estate of John Lidell
Claimant Lawyers(s): Lloyd S. Clareman
Respondent(s): Jason Klabal, Michael Mariani, Legend Securities.
Respondent Lawyers(s): David A. Gehn, Lawrence R. Gelber, Michael A. Mariani
Arbitrator(s): Susan C. Lushing, Richard Lee Mansdoerfer, Michele S. Riley
Hearing Site: New York, NY
| | $61,867 |
| 11-03675 | 03/14/2013 | Claimant(s): Jaime Melgarejo
Claimant Lawyers(s): Jaime Melgarejo
Respondent(s): Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX
| | $0 |
| 11-01229 | 06/27/2012 | Claimant(s): David Yamamoto, Mary Yamamoto
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Elaine Sikorski, Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
| | $150 |
| 11-00571 | 05/04/2012 | Claimant(s): Dennis Herman
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Cheryl Black, Harold Eylward, J.P. Morgan Securities
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Edward Baer, James M. Baumann, Ann C. Northern
Hearing Site: New York, NY
| | $0 |
| 11-00052 | 03/05/2012 | Claimant(s): Paul Malkin, Phyllis Malkin
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Linda M. Granata, Melanie S. Cherdack, Joseph Michael Matthews
Hearing Site: Miami, FL
| | $90,298 |
| 09-04980 | 10/18/2010 | Claimant(s): Robert J.A. Zito and Dana Cole
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Charles Albanese, Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Sandra Gale Behrle, Evdokia Sofos, Christine Costigan
Hearing Site: New York, NY
| | $0 |
| 09-00294 | 08/06/2010 | Claimant(s): Jason Schecter, Lissa Fial, Lynn Schecter
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Chucks Roberts, Citigroup Global Markets., Stephen Condos, The Condos and Roberts Group
Respondent Lawyers(s): Compliance Officer, Jeffrey L. Friedman, William A. Hohauser
Arbitrator(s): Richard S. Peskin, Cynthia A. DiMarco, Martin H. Zern
Hearing Site: New York, NY
| | Expungement |
