| 14-01626 | 01/08/2016 | Claimant(s): Michael Marcello
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): James Forsythe, Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Joseph J. Arata, Peter A. Goldman, Gelvin L. Stevenson
Hearing Site: New York, NY
|  | $0 |
| 14-01741 | 01/07/2016 | Claimant(s): Crosstown Plumbing Supply.
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Howard W. Hirschhorn, Edward W. Morris, Ronald J. Colombo
Hearing Site: Newark, NJ
| | $346,881 |
| 15-01163 | 01/07/2016 | Claimant(s): Jerry S. Needleman
Claimant Lawyers(s): Jerry S. Needleman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Heather K. Murphy
Arbitrator(s): Linda J. Baer
Hearing Site: New York, NY
| | $38 |
| 14-00199 | 01/06/2016 | Claimant(s): Kenneth Lee
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Citigroup Global Markets., Hsyu-Chieng Chiou
Respondent Lawyers(s): Brian J. Ellis, Steven D. Toskes
Arbitrator(s): Perry Lee Taylor, Barbara Black, Helen E. Huyler
Hearing Site: Atlanta, GA
| | $2,250,000 |
| 15-00689 | 01/04/2016 | Claimant(s): Alan Gallantar
Claimant Lawyers(s): Allan Gallantar
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Christina Kallas
Hearing Site: New York, NY
| | $0 |
| 15-00040 | 12/31/2015 | Claimant(s): Bruce Burns
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): David A. Noyes & Company
Respondent Lawyers(s): David A. Genelly
Arbitrator(s): Stephen C. Esposito, Michael Nathanson, Joseph John Novak
Hearing Site: Chicago, IL
| | $0 |
| 14-03213 | 12/30/2015 | Claimant(s): Kenneth Hunt, Sharon Poulton, Kenneth Hunt Revocable Trust U/A dtd 11/, Sharon Poulton Revocable Trust
Claimant Lawyers(s): Jonathan Evans
Respondent(s): Jeffrey Fratarcangeli, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brandon Reif, Eric A. Herzog
Arbitrator(s): Chester L. Firestein, Richard M. Norman, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-00115 | 12/30/2015 | Claimant(s): Danitza Parchment
Claimant Lawyers(s): Danitza Parchment
Respondent(s): David Schuster, Maxim Group LLC
Respondent Lawyers(s): Ian Hummel
Arbitrator(s): Joseph H. Cerame
Hearing Site: New York, NY
| | $0 |
| 15-01299 | 12/30/2015 | Claimant(s): Robert Simon, Robert Simon IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): Michael Jordan
Respondent Lawyers(s): Michael Jordan
Arbitrator(s): Robert S. Sugarman
Hearing Site: Chicago, IL
| | $37,650 |
| 15-01364 | 12/30/2015 | Claimant(s): Charles Finkelstein
Claimant Lawyers(s): Charles Finkelstein
Respondent(s): James Borgerding, Lindie Enders, RBC Capital Markets LLC
Respondent Lawyers(s): Molly J. Henry
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: Seattle, WA
| | $0 |
