| 20-01382 | 05/04/2022 | Claimant(s): BAG Securities Fund, L.P., GovPlus Fund AI, NorCap Diversified Premium Fund, NorCap Equity Plus Fund
Claimant Lawyers(s): David E. Robbins
Respondent(s): Jefferies LLC
Respondent Lawyers(s): Francesca Brody
Arbitrator(s): David A. Schuler, Eric Ross Cromartie, Christopher John Rowland
Hearing Site: Dallas, TX
|  | $0 |
| 20-03262 | 04/29/2022 | Claimant(s): Bluebay Multistrat, L.P.
Claimant Lawyers(s): Romain Bruere
Respondent(s): Clear Street LLC, Precision Securities
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Diane M. Perry, Monroe Mitchel, Michael Ross
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12511/12212/12504 |
| 21-01595 | 03/08/2022 | Claimant(s): Raymond Guarini
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Windsor Street Capital, L.P.
Respondent Lawyers(s): John W. Stalanski
Arbitrator(s): Steven C. Kasarda
Hearing Site: New York, NY
| | |
| 21-02157 | 03/02/2022 | Claimant(s): Rocco Guidicipietro
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Alexander Capital, L.P.
Respondent Lawyers(s): Michele Misiti
Arbitrator(s): Harvey Barrison, Phillip Michael Brown, Joan Ellen Hoffman
Hearing Site: New York, NY
| | |
| 19-01077 | 02/25/2022 | Claimant(s): Erik Napp
Claimant Lawyers(s): Brian Kennedy
Respondent(s): BGC Financial, L.P.
Respondent Lawyers(s): Nirav S. Shah
Arbitrator(s): Rory M. McLaughlin, Lorraine Marie Brennan, Steven Bauer Malkenson
Hearing Site: New York, NY
| | |
| 21-02156 | 02/07/2022 | Claimant(s): Michele Misiti
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Alexander Capital, L.P.
Respondent Lawyers(s): Rocco Guidicipietro
Arbitrator(s): Madelon M. Rosenfeld, Mary Julia O'Connell, Adam M. Kauff
Hearing Site: New York, NY
| | |
| 21-01630 | 01/11/2022 | Claimant(s): David Spratt
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Alexander Capital, L.P.
Respondent Lawyers(s): Rocco Guidicipierto
Arbitrator(s): Dora M. Lassinger, Gerald M. Levine, Judith C. Aarons
Hearing Site: New York, NY
| | |
| 21-01881 | 11/05/2021 | Claimant(s): Frank Delli Carpini
Claimant Lawyers(s): David I. Hantman
Respondent(s): Belle Haven Investments, L.P.
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Susan Romano
Hearing Site: New York, NY
| | |
| 20-02623 | 09/16/2021 | Claimant(s): FPP CIS Opportunities Fund, L.P.
Claimant Lawyers(s): Samuel J. Lieberman
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): David Luger
Arbitrator(s): Judith C. Zerden, Kinchen C. Bizzell, Lawrence Williams
Hearing Site: New York, NY
| | $1,881,500 |
| 20-02378 | 07/22/2021 | Claimant(s): Bret Laporte
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Jim Geiger
Hearing Site: Hartford, CT
| | |
