| 18-00082 | 04/04/2019 | Claimant(s): Joseph Stonbely
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Spartan Capital Securities
Respondent Lawyers(s): Matthew N. Fiorovanti
Arbitrator(s): James J. Fishman, Karimu F. Hill-Harvey, Charles F. Eisenhardt
Hearing Site: New York, NY
|  | Expungement |
| 17-00880 | 07/12/2018 | Claimant(s): Ferrospes AS
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): George Calhoun, Laidlaw & Company (Uk) Ltd.
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): James J. Fishman, Pamela H. Roderick, Clarence Smith
Hearing Site: New York, NY
| | $25,000 |
| 07-03217 | 08/19/2016 | Claimant(s): Bryan Shand, Bryan Shand Pension Fund, Dunnedin Estates Overseas Ltd, Dunnedin Ltd, Khaleej Investments Ltd
Claimant Lawyers(s): Adam M. Thompson
Respondent(s): Mckyle Clyburn, Ross Mandell, Sky Capital LLC, The Thornwater Company, L.P.
Respondent Lawyers(s): Compliance Officer, Mcklye Clyburn, Robert John Grabowski, Ross Mandell
Arbitrator(s): John J. Phelan, James J. Fishman, Edna Rubin Sussman
Hearing Site: New York, NY
| | $1,312,000 |
| 15-02987 | 08/10/2016 | Claimant(s): Caren Kramer, Lauren Kramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): James J. Fishman
Hearing Site: New York, NY
| | Expungement |
| 14-03582 | 12/21/2015 | Claimant(s): Loretta Gargiulo, The Estate of John Gargiulo
Claimant Lawyers(s): Philip H. Seelig
Respondent(s): Patrick D'Agostino, Boenning & Scattergood.
Respondent Lawyers(s): Michael J. Broadbent
Arbitrator(s): James J. Fishman, Abigail J. Pessen, Vivian Berger
Hearing Site: New York, NY
| | Expungement |
| 14-00299 | 11/12/2015 | Claimant(s): Peter Doyle, Peter Doyle IRA
Claimant Lawyers(s): Ruthann Granito
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael Gaico
Arbitrator(s): James J. Fishman, Robert E. Anderson, Nino Armienti
Hearing Site: New York, NY
| | Expungement |
| 13-03666 | 05/20/2015 | Claimant(s): Vincent Albanese, Albanese Battery Place, VMA Realty I Partners LLC, VMA Realty II Partners LLC, VMA/NA Realty, The Niki and Vincent M. Albanese 2012 Gr
Claimant Lawyers(s): Mario Aieta
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): James J. Fishman, Michael Jaffe, Fei K. Tsum
Hearing Site: New York, NY
| | $158,000 |
| 13-00409 | 08/14/2013 | Claimant(s): Sharaya Moore
Claimant Lawyers(s): Howard S. Meyers
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): James J. Fishman
Hearing Site: New York, NY
| | $14,527 |
| 11-03239 | 03/12/2013 | Claimant(s): Donna Cleveland
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): James J. Fishman, Evdokia Sofos, Ann P. Bruch
Hearing Site: New York, NY
| | $0 |
| 11-00567 | 07/13/2012 | Claimant(s): John Sisk
Claimant Lawyers(s): Timothy Feil
Respondent(s): John Sykes, Kirk Kubach, Paul Chuzi, Paul Richardson, JHS Capital Advisors., Pointe Capital.
Respondent Lawyers(s): Elizabeth Schmid
Arbitrator(s): Robert L. Salzberg, James J. Fishman, Annette B. Meyers
Hearing Site: New York, NY
| | $1,693,200 |
