| 15-02495 | 05/04/2017 | Claimant(s): Brianna Beattie, Brooke Beattie, Kenneth McEwen, Maureen Beattie, Paul Beattie
Claimant Lawyers(s): Jorge Altamirano
Respondent(s): Christopher McNamee
Respondent Lawyers(s): Christopher McNamee
Arbitrator(s): Michael Fischetti, Margaret Leggett Tarver, Michael Quintieri
Hearing Site: Newark, NJ
|  | $170,000 |
| 16-00652 | 05/04/2017 | Claimant(s): Gary Masi
Claimant Lawyers(s): Adam Gana
Respondent(s): Longship Alternative Asset Management, Tradition Asiel Securities Inc.
Respondent Lawyers(s): Donald N. Cohen, Martin P. Unger
Arbitrator(s): Steven R. Rolnick, Sean Michael Peoples, Mae A. Brudner
Hearing Site: Hartford, CT
| | Dismissed by Rule 12504 |
| 16-02067 | 05/04/2017 | Claimant(s): Jonathon Jay Marks, Suzana Rockwell Marks
Claimant Lawyers(s): Jonathon Jay Marks, Suzana Rockwell Marks
Respondent(s): Morgan Stanley, Lewis Robinson
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): James D. McDonald, Jeffrey R. Roth, Victoria G.A. Willingham
Hearing Site: Ft. Lauderdale, FL
| | $29,360 |
| 16-00025 | 05/03/2017 | Claimant(s): The Dennis Keyser Revocable Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): H. Beck.
Respondent Lawyers(s): Scott N. Sherman
Arbitrator(s): Thomas J. Ray, Kim L. Kirn, Marjorie Lynn Gold
Hearing Site: St. Louis, MO
| | Expungement |
| 15-00010 | 05/03/2017 | Claimant(s): Steven Griff
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Robert T. Allen, John A. Baynes, Brock B. Gordon
Hearing Site: Charlotte, NC
| | $0 |
| 16-02977 | 05/02/2017 | Claimant(s): Paul Boriello
Claimant Lawyers(s): Paul Boriello
Respondent(s): First Montauk Securities Corp.
Respondent Lawyers(s): Sarah Klein
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
| | $0 |
| 15-02580 | 04/28/2017 | Claimant(s): Clifford Allenby
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): David P. Slater, Will Murphy, Andrew Michael Bonderud
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-03759 | 04/27/2017 | Claimant(s): Steven Rakoff
Claimant Lawyers(s): Adam Gana
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Robert J. Kheel, Madelyn A. Levy, Natalie Jennifer Bordeaux
Hearing Site: New York, NY
| | Expungement |
| 16-00575 | 04/26/2017 | Claimant(s): Brian Holmes, Michelle Holmes
Claimant Lawyers(s): Joel Levin
Respondent(s): Ralph Derose, Wunderlich Securities.
Respondent Lawyers(s): Mark Griffin
Arbitrator(s): Charles Orlove, James Dale Ellis, Ronald Edward Alexander
Hearing Site: Cleveland, OH
| | $1,044,780 |
| 16-00027 | 04/26/2017 | Claimant(s): Richard Trust
Claimant Lawyers(s): Stan Schuldiner
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): John J. Flynn, Thomas D. Reese, William J. Petzel
Hearing Site: San Francisco, CA
| | $27,642 |
