| 19-02285 | 08/10/2021 | Claimant(s): Steeler Capital LLC
Claimant Lawyers(s): Lawrence V. Carra
Respondent(s): Brian Frank, Ascendant Alternative Strategies
Respondent Lawyers(s): K. B. Battaglini
Arbitrator(s): Philip M. Mandel, Steven Gary Leventhal, Leslie Conason
Hearing Site: New York, NY
|  | Expungement |
| 18-03521 | 10/22/2019 | Claimant(s): Susan Suarez
Claimant Lawyers(s): James Halter
Respondent(s): UBS Financial Services Inc., Mary Zawacki
Respondent Lawyers(s): John P. Leonard
Arbitrator(s): Philip M. Mandel, Edward F. Zagajeski, Matthew Fenster
Hearing Site: New York, NY
| | |
| 17-02796 | 04/03/2019 | Claimant(s): Mark Connelly
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): Clsa Americas
Respondent Lawyers(s): Barbara M. Roth
Arbitrator(s): Philip M. Mandel, Pamela H. Roderick, Martin L. Feinberg
Hearing Site: New York, NY
| | |
| 09-04807 | 07/09/2014 | Claimant(s): James Byrne, James Rogers, Joseph Tortora, Richard Festa
Claimant Lawyers(s): Nicholas J. Boyle
Respondent(s): Aimee Carey, Alexis Feliciano, Andrew Roberts, Anthony Verrier, Brian Hampton, Charles Veneziano, Donald Kearns, Eugene Williams, Graig Badger, James McDonald, Janet Schait, John Lugano, John Pagan, John Siedem, Joseph Spillane, Joseph Walsh, Kevin Shanahan, Lawrence Davis, Marc Denicola, Mark DeSalvo, et al
Respondent Lawyers(s): Elissa L. Isaacs, Eric Seiler, John N. Orsini, Nicholas J. Boyle, Robert M. Abrahams
Arbitrator(s): Philip M. Mandel, Edward M. Rosensteel, Steven J. Brill
Hearing Site: New York, NY
| | |
| 11-03358 | 02/12/2014 | Claimant(s): Mariam Nigohosian
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Philip M. Mandel, Joseph B. Russell, Sandra Gale Behrle
Hearing Site: New York, NY
| | $0 |
| 11-02308 | 05/04/2012 | Claimant(s): Rodney Plaskett
Claimant Lawyers(s): Rodney A. Brown
Respondent(s): Ledgemont Capital Group, Ledgemont Securities LLC
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Philip M. Mandel, Jack Friedman, Aubrey Lees
Hearing Site: New York, NY
| | |
| 09-04307 | 03/17/2011 | Claimant(s): Michael Brennan
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Philip M. Mandel, David S. Billet, Irene C. Warshauer
Hearing Site: New York, NY
| | |
| 09-01735 | 11/16/2010 | Claimant(s): Jacqueline Frost, Est. of John M. Frost by Richard Scheyer
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Michael Kresh, H.D. Vest Investment Services. Inc., Royal Alliance Associates.
Respondent Lawyers(s): Gary S. Kessler, Jonathan C. Thau
Arbitrator(s): Philip M. Mandel, Joel P. Mellis, Peter P. Skomorowsky
Hearing Site: New York, NY
| | $0 |
| 05-03716 | 03/20/2009 | Claimant(s): Kirlin Securities.
Claimant Lawyers(s): Isaac M. Zucker
Respondent(s): Anthony Kirincic, David Lindner, Edward Deicke, Edward Wells, Frank Nargentino, Marcello Lattuca, Matthew Senicola, GunnAllen Financial
Respondent Lawyers(s): Isaac M. Zucker, Jay Israel, Michael Gilmore
Arbitrator(s): Philip M. Mandel, Krishna M. Vempaty, William G. Binckes
Hearing Site: New York, NY
| | |
| 99-03196 | 09/12/2007 | Claimant(s): Estate of Edward A. Cantor
Claimant Lawyers(s): Michael M. Cantor
Respondent(s): Jeffrey Grayson, Gibraltar Securities Co., Equitable Distributors., Hartford Insurance Co.
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Philip M. Mandel, Kenneth L. Stewart, Kent L. Benziger
Hearing Site: New York, NY
| | $0 |
