| 18-02720 | 12/09/2021 | Claimant(s): John Mitchell Marmaduke Revocable Living
Claimant Lawyers(s): Mark S. Simms
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): James W. Geiger, Joseph Benalt, Gregory Richard Barthelette
Hearing Site: Boca Raton, FL
|  | $150,000 |
| 16-03686 | 07/31/2018 | Claimant(s): Claire Scalzo, Louis Scalzo, Louis Scalzo Family Marital DED Trust, Scalzo Family Bypass Trust, Scalzo Survivors Trust
Claimant Lawyers(s): Jeffrey Pederson, Richard A. Nervig
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): David H. S. Commins, George King, Val D. Hornstein
Hearing Site: San Francisco, CA
| | Expungement |
| 12-04093 | 07/08/2015 | Claimant(s): Henry Zachs
Claimant Lawyers(s): John M. Magliery
Respondent(s): Albert Dishner, Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): Leah G. Rabinowitz, Sandra Gale Behrle, Gayle S. Sanders
Hearing Site: New York, NY
| | $0 |
| 13-00613 | 11/08/2013 | Claimant(s): Charles Byrd, Dan DeSimoni, Dennis Owens, Doug Reinhart, Greg Stringer, Hammond Hunt, Henry Respess, Irvin Plowden, J. Turner Hunt, Massimo DeSimoni, Maxine Kelley, Michael DeSimoni, Paul Reinhart, Willard Hill, William Hunt, William "Will" Bunker
Claimant Lawyers(s): Scott F. Hessell
Respondent(s): Deutsche Bank Securities., David Parse, Raymond Brubaker, DB Alex. Brown LLC, Deutsche Bank AG
Respondent Lawyers(s): Allan N. Taffet, Keith E. Blackman, Kevin E. O'Reilly, Paul H. Schoeman, The Company President
Arbitrator(s): Joseph D. Vu, Marilee Roberg, Jacqueline Stanley Lustig
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 12-03171 | 06/03/2013 | Claimant(s): Mark Klopfenstein, Molly Klopfenstein, TranStar Capital Ventures LLC
Claimant Lawyers(s): Robert K. Crowe
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): Harry G. Mason, Robert A. Dean, Osei J Adoma
Hearing Site: Atlanta, GA
| | Dismissed by Rule 12206/12504 |
| 11-02623 | 02/12/2013 | Claimant(s): Michael Myers, Susan Myers, Michael F. Myers MA Trust dtd 10/23/08, Michael F. Myers MA Trust dtd 12/3/08, Susan K. Myers Living Trust dtd 1/8/01, Susan Myers MA Trust dtd 7/11/08
Claimant Lawyers(s): Charles N. Freiberg
Respondent(s): Deutsche Bank Securities., Oppenheimer & Co.., Karl Hahn
Respondent Lawyers(s): Allan N. Taffet, Karl E. Hahn, Philip A. McLeod
Arbitrator(s): Linda M. Deola, Jonathan H. Krotinger, Susan J. Alexander
Hearing Site: San Francisco, CA
| | $934,193 |
| 11-04536 | 07/11/2012 | Claimant(s): Michelle Massie
Claimant Lawyers(s): Michelle Nicole Massie
Respondent(s): BNY Mellon Securities LLC
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): Maurice R. Dunie
Hearing Site: Washington, DC
| | $319 |
| 09-02545 | 08/12/2011 | Claimant(s): Michael Ghanadian
Claimant Lawyers(s): Russell C. Weigel
Respondent(s): Credit Suisse Securities (USA) LLC, Swiss American Securities Inc.
Respondent Lawyers(s): Allan N. Taffet, Joshua Klein
Arbitrator(s): David S. Billet, Orestes J. Mihaly, Carol Di Natale
Hearing Site: New York, NY
| | $0 |
| 09-02906 | 04/08/2011 | Claimant(s): Jay Raubvogel, Seymour Raubvogel, M. Raubvogel Co. Inc. Trust
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): James D. McDonald, Randy R. Freedman, Steven G. Montesi
Hearing Site: Boca Raton, FL
| | $766,935 |
| 09-02736 | 12/30/2010 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Allan N. Taffet
Respondent(s): Enable Capital Management, Jefferies & Company., Enable Growth Partners
Respondent Lawyers(s): Alyson M. Weiss, Michael J. Baker
Arbitrator(s): Jonathan H. Krotinger, Mary Margaret Bush, Mary Kay Higgins Crockett
Hearing Site: San Francisco, CA
| | $0 |
