| 20-00008 | 07/14/2021 | Claimant(s): Howard Alexander
Claimant Lawyers(s): Keith Markel
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): James D. Yellen, Albert Rizzo, Piotr Seweryn Wojtowicz
Hearing Site: New York, NY
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| 16-00112 | 11/08/2016 | Claimant(s): Quad Capital Management, Quad Capital
Claimant Lawyers(s): Joseph M. Pastore
Respondent(s): Joseph Monte
Respondent Lawyers(s): Seth T. Taube
Arbitrator(s): James D. Yellen, Robert Bartels
Hearing Site: New York, NY
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| 14-01629 | 06/02/2015 | Claimant(s): Bryant Graham
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Scott R. Koch
Arbitrator(s): Jack Friedman, Clarence Smith, James D. Yellen
Hearing Site: New York, NY
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| 08-04585 | 08/06/2009 | Claimant(s): Harold Kozupsky, Jeanette Kozupsky, Harold and Jeanette Kozupsky, IRA, Harold Kozupsky and Jeanette Kozupsky
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): George Gladman, Ronald Slevin, RBC Dain Raucher
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): John F. Duane, Alvin Green, James D. Yellen
Hearing Site: New York, NY
|  | Stipulated Award and Expungement |
| 08-02059 | 06/10/2009 | Claimant(s): Chase Investment Services Corp.
Claimant Lawyers(s): Thomas J. Cahill
Respondent(s): Brian Radoo, Next Financial Group.
Respondent Lawyers(s): Brian Radoo, Melvin G. Mosley
Arbitrator(s): Marguerite B. Filson, Robert S. Getman, James D. Yellen
Hearing Site: New York, NY
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| 08-00765 | 04/22/2008 | Claimant(s): RBC Capital Markets Corp.
Claimant Lawyers(s): Anne C. Patin
Respondent(s): Charles Howard
Respondent Lawyers(s): Michael C. Deutsch
Arbitrator(s): Edward Baer, James D. Yellen, Barry R. Lax
Hearing Site: New York, NY
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