11-01413 | 01/11/2013 | Claimant(s): Tullett Prebon Americas Corp., Tullett Prebon Financial Services LLC Claimant Lawyers(s): Robert M. Abrahams Respondent(s): Anthony Arcabascio, Charles Comparetto, Gregory Golden, Michael Palladino, Pierce Ryan, Richard Clarkson, Robert Steiniger, Thomas Killeen, Timothy Horan, BGC Financial, L.P. Respondent Lawyers(s): Eric Seiler, Nicholas J. Boyle Arbitrator(s): Paul K. Barenholtz, Martin H. Zern, Anthony Dennis Perri Hearing Site: New York, NY
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10-04028 | 06/08/2012 | Claimant(s): Susan Biles, SGB Springfield, SGB-Landmark Towers LLC, SGB-Village at Old Trace LLC Claimant Lawyers(s): David I. Lefkowitz Respondent(s): James Franceus, Crown Capital Securities, L.P., Summit Financial Advisors. Respondent Lawyers(s): Tanya Durkee Urbach Arbitrator(s): R. Lee Smith, Paul R. Meyer, Harold J. Schleef Hearing Site: Portland, OR
| | $5,793 |
09-06361 | 05/17/2012 | Claimant(s): The Estate of George T. Arns, The Arns Family Trust Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Frank Delli Carpini, Pershing LLC, UBS Financial Services Inc., Belle Haven Investments, L.P. Respondent Lawyers(s): Amy B. Bard, Garry Lischin, Matthew Tracy Arbitrator(s): Kinchen C. Bizzell, Saul Scheier, Ellyn S. Roth Hearing Site: New York, NY
| | Expungement |
11-00870 | 03/26/2012 | Claimant(s): Doxa Family Partnership, L.P., Emily A. Schwarz Rev Living Trust, George Weber Jr. Trust etc. Claimant Lawyers(s): Ronald B. Ziegler Respondent(s): LPL Financial LLC, Peter Reinecke Respondent Lawyers(s): Donald J. Mehan, Peter W. Gillies Arbitrator(s): Gerald Cohen, John R. Loss, Casey John Whalley Hearing Site: St. Louis, MO
| | Expungement |
11-01308 | 03/09/2012 | Claimant(s): Daniel Rosenthal, Robert Hirsh Claimant Lawyers(s): Herbert Beigel Respondent(s): William Fretz, The Keystone Equities Group, L.P. Respondent Lawyers(s): Mu'min F. Islam Arbitrator(s): Guillermo L. Bosch, John P. Hughes, Walter R. Milbourne Hearing Site: Philadelphia, PA
| | $0 |
10-05814 | 02/24/2012 | Claimant(s): Janice Carkeek, Janice Carkeek IRA, Janice A. Carkeek Revocable Trust U/A/D Claimant Lawyers(s): Alan L. Sachs Respondent(s): Jeremy Kisner, Crown Capital Securities, L.P. Respondent Lawyers(s): Craig R. Bockman, G. Thomas Fleming Arbitrator(s): James H. McAvoy, Melvin S. Feldman, Daniel Clay McGuire Hearing Site: Las Vegas, NV
| | $31,768 |
11-00165 | 02/02/2012 | Claimant(s): Inokentiy Osadchyy Claimant Lawyers(s): Nicholas J Guiliano Respondent(s): Aleksandr Denisov, Naum Voloshin, Pinnacle Securities, L.P., San Francisco Securities. Respondent Lawyers(s): Aleksandr Yurievich Denisov, Naum Voloshin Arbitrator(s): Aubrey Lees, Robert S. Getman, Robert Francis Geary Hearing Site: New York, NY
| | $224,620 |
10-02248 | 01/12/2012 | Claimant(s): Derek LaFavor, LaFavor Investments, L.P. Claimant Lawyers(s): Robert A. Kantas Respondent(s): LPL Financial LLC, Michael Manning, Hamilton, Manning & Associates Respondent Lawyers(s): John Kincade, John Singer Arbitrator(s): Elizabeth A. Copley, Theodore T. Wdowiak, Anita Rae Shapiro Hearing Site: Las Vegas, NV
| | Stipulated Award and Expungement |
09-06233 | 09/16/2011 | Claimant(s): JPTDLM, L.P. Claimant Lawyers(s): Jeffrey J. Liotta Respondent(s): Oppenheimer & Co.., Jonathan Greene, Kyle Wool, Oppenheimer Asset Management Inc. Respondent Lawyers(s): Gerry Kowalski Arbitrator(s): Susan H. Schleisner, Gary L. Grolle, Dennis M. Selby Hearing Site: Milwaukee, WI
| | Expungement |
09-02095 | 07/29/2011 | Claimant(s): Braden Partners, L.P., Elsa Gaze Braden Trust, Grant Braden Education Trust Claimant Lawyers(s): Gerald B. Kline Respondent(s): Joshua Krentzman, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Julie Portera Arbitrator(s): Michael J. Stern, Anne H. Orr, George Harrison Lemmond Hearing Site: Atlanta, GA
| | $0 |