| 12-02031 | 11/14/2014 | Claimant(s): Dean Hart
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Andrew Trochez, Craig Josephberg, Halcyon Cabot Partners, Ltd.
Respondent Lawyers(s): Andrew Jesus Trochez, Anthony C. Varbero, Craig L. Josephberg
Arbitrator(s): Arnold Wagner
Hearing Site: New York, NY
|  | $25,000 |
| 13-01586 | 09/22/2014 | Claimant(s): Mattie Seabrook
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Alan Chodosh, David Lerner Associates., David Lerner, John Dempsey, Martin Lerner, William Campbell
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Cecilia B. Loving, John N. Polakas, Arnold Wagner
Hearing Site: New York, NY
| | Expungement |
| 13-02036 | 07/11/2014 | Claimant(s): Rolf Hanggi
Claimant Lawyers(s): Sam Schwartz
Respondent(s): Emilio Disanluciano, Frank Mazzola, Felix Investments LLC
Respondent Lawyers(s): Aegis Frumento, Richard J. Babnick, Susan Diamond
Arbitrator(s): Arnold Wagner, Sandra J. Mullings, Robert J. Miller
Hearing Site: New York, NY
| | $0 |
| 11-03094 | 05/25/2012 | Claimant(s): DCG & T FBO Elliott Zimmerman/IRA Elliot
Claimant Lawyers(s): Elliott Zimmerman
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Joseph C. Pickard
Arbitrator(s): Arnold Wagner
Hearing Site: New York, NY
| | $225 |
| 09-03961 | 05/25/2011 | Claimant(s): Howard Wilkov, The Wilkov Family Limited Partnership
Claimant Lawyers(s): Samuel L. Butt
Respondent(s): Ameriprise Financial Services., Jennifer Wilkov
Respondent Lawyers(s): Eric R. Breslin, Michael J. Zaretsky
Arbitrator(s): Robert Youdelman, Arnold Wagner, Herman Taub
Hearing Site: New York, NY
| | $501,200 |
| 09-07176 | 08/06/2010 | Claimant(s): Bruno Weber
Claimant Lawyers(s): Magdalena Flunger
Respondent(s): Brian Schkeryantz, JB Oxford & Company
Respondent Lawyers(s): Brian M. Schkeryantz, President or Compliance Officer
Arbitrator(s): Arnold Wagner
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 09-06046 | 05/24/2010 | Claimant(s): Mon Chu
Claimant Lawyers(s): Kevin Conway
Respondent(s): A. B. Watley Direct.
Respondent Lawyers(s): Ralph Armenti
Arbitrator(s): Arnold Wagner
Hearing Site: New York, NY
| | $25,000 |
| 09-03304 | 12/02/2009 | Claimant(s): Michael & Nancy DeSimone
Claimant Lawyers(s): Michael G. DeSimone
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin K. Fair
Arbitrator(s): Arnold Wagner
Hearing Site: New York, NY
| | $75 |
| 08-04541 | 10/12/2009 | Claimant(s): Costa Tzotzis, Darin Haines, Prestige Financial Center.
Claimant Lawyers(s): Brian Reis
Respondent(s): Niles Management Leasing Corp.
Respondent Lawyers(s): Karl Azai
Arbitrator(s): Arnold Wagner
Hearing Site: New York, NY
| | $0 |
| 08-01045 | 07/29/2009 | Claimant(s): James Ritter, Maxim Growth Fund LP
Claimant Lawyers(s): James D. Ritter
Respondent(s): Wachovia Securities Financial Network, Eric Lyon, John Black
Respondent Lawyers(s): Marc J. Ross
Arbitrator(s): Arnold Wagner, Joseph W. Lodato, Anthony Michael Sabino
Hearing Site: New York, NY
| | $0 |
