| 16-03042 | 03/27/2017 | Claimant(s): Eric Stubbs
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities, RBC Capital Markets LLC
Respondent Lawyers(s): Eugene Small, Patrick Howley
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | |
| 11-03837 | 02/22/2017 | Claimant(s): Estate of Jerry Castellone, Estate of Jerry Castellone 2
Claimant Lawyers(s): Harvey Jasper, Jonathan A. Stein
Respondent(s): Chase Investment Services Corp., Chemical Bank, JP Morgan Chase & Co., JP Morgan Chase Bank & Co., JP Morgan Chase Bank NA
Respondent Lawyers(s): Michael J. Charlilo
Arbitrator(s): Ted M. Rosen, Joan M. Traub, Peter A. Kiefer
Hearing Site: New York, NY
|  | $600 |
| 16-02582 | 02/15/2017 | Claimant(s): Lance Lipset
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Lacy M. Triplett
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
| | |
| 16-01552 | 01/24/2017 | Claimant(s): Barbara Doran
Claimant Lawyers(s): Barbara L Doran
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Larry A. Kimmel, Pamela H. Roderick, Joan M. Traub
Hearing Site: New York, NY
| | |
| 15-01433 | 10/13/2016 | Claimant(s): Daniel Ramjohn
Claimant Lawyers(s): Brittany Weiner
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Roger J. Hawke, Joan M. Traub, Franklin P. Chapman
Hearing Site: New York, NY
| | |
| 15-02794 | 06/23/2016 | Claimant(s): Bernard Fuchs
Claimant Lawyers(s): Nicolis S. Singer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jill M. Del Monico
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | |
| 14-01687 | 04/11/2016 | Claimant(s): Charles Lieberman
Claimant Lawyers(s): Jessica Levine
Respondent(s): Joan and Todd Donahue
Respondent Lawyers(s): Todd Donohue
Arbitrator(s): Clifford A. Harwick, Joan M. Traub, Edith M. Novack
Hearing Site: Newark, NJ
| | $0 |
| 14-03105 | 04/10/2015 | Claimant(s): Joel Rogovin
Claimant Lawyers(s): Nicolis S. Singer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | |
| 14-00358 | 09/30/2014 | Claimant(s): Keith Steidle
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): Obsidian Financial Group
Respondent Lawyers(s): Kevin Sharma
Arbitrator(s): Joan M. Traub, Alan Funk, David Morris Weiss
Hearing Site: Newark, NJ
| | |
| 12-04223 | 06/27/2014 | Claimant(s): Kovack Securities Inc.
Claimant Lawyers(s): Walter J. Mathews
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
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