| 17-01643 | 03/28/2018 | Claimant(s): Nadia Kilada
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Morgan Stanley, Eric Hernandez
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Morton S. Bunis, Anna Lascar, Brooks White
Hearing Site: New York, NY
|  | $0 |
| 17-01977 | 02/27/2018 | Claimant(s): Eric Earnhardt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Dirks & Company.
Respondent Lawyers(s): Jessy Dirks
Arbitrator(s): Brooks White
Hearing Site: New York, NY
| | |
| 17-01952 | 01/16/2018 | Claimant(s): Brian Cain
Claimant Lawyers(s): David Buffa
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Brooks White
Hearing Site: New York, NY
| | |
| 16-01077 | 10/25/2017 | Claimant(s): Kristina Kozikott
Claimant Lawyers(s): David C. Wims
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Brooks White
Hearing Site: New York, NY
| | |
| 16-02160 | 09/26/2017 | Claimant(s): Linda Kaplan
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Oppenheimer & Co.., Raymond, James & Associates., Peter Marketos
Respondent Lawyers(s): Ralph T. Izzo, Robert L. Herskovits, Robert M. Rudnicki
Arbitrator(s): Brooks White, Patricia Kathleen Costello, Elliot Schnapp
Hearing Site: New York, NY
| | Expungement |
| 16-00079 | 08/10/2017 | Claimant(s): Estate of Louis J. Levy
Claimant Lawyers(s): Richard J. Sillman
Respondent(s): Morgan Stanley & Co., Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Evonne W.J. Tolbert, John F. Duane, Brooks White
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 16-00898 | 05/18/2017 | Claimant(s): Michael McBee
Claimant Lawyers(s): Matthew C. Heerde
Respondent(s): Evan Schwartzberg, James Viccaro, Mathew Van Alstyne, Odeon Capital Group LLC
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Brooks White
Hearing Site: New York, NY
| | |
| 16-00133 | 05/04/2017 | Claimant(s): Lawrence Karp
Claimant Lawyers(s): David N. Mair
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Joseph I. Liebman, Michael Ritner Weaver, Brooks White
Hearing Site: New York, NY
| | |
| 16-00844 | 01/03/2017 | Claimant(s): Robert Shkreli
Claimant Lawyers(s): Hendrick Vandamme
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Frederic L. Lieberman
Arbitrator(s): Joseph J. Arata, Kevin F. Cuddihy, Brooks White
Hearing Site: New York, NY
| | |
| 15-03311 | 07/01/2016 | Claimant(s): Steven Sormani
Claimant Lawyers(s): Trae D. Meyr
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Charles L. Henderson, David I. Goldblatt, Brooks White
Hearing Site: New York, NY
| | |
