| 13-02445 | 10/18/2013 | Claimant(s): Richard Gabay
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Obsidian Financial Group
Respondent Lawyers(s): Kevin Sharma
Arbitrator(s): Carolyn A. Mann
Hearing Site: New York, NY
|  | $217,000 |
| 12-00835 | 05/10/2013 | Claimant(s): Supplemental Needs Trust
Claimant Lawyers(s): Elizabeth Goldman
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Carolyn A. Mann
Hearing Site: New York, NY
| | Expungement |
| 12-00274 | 02/20/2013 | Claimant(s): David Lobato
Claimant Lawyers(s): David Lobato
Respondent(s): Carolyn Gregg, Edward Jones
Respondent Lawyers(s): Janet R. McLaughlin
Arbitrator(s): Carolyn A. Mann
Hearing Site: New York, NY
| | $0 |
| 09-04138 | 01/07/2013 | Claimant(s): Julia Hussey
Claimant Lawyers(s): William J. Gladden
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Avi Stadler
Arbitrator(s): Romaine L. Gardner, Carolyn A. Mann, Stephen Laughlin Eddy
Hearing Site: Memphis, TN
| | $0 |
| 09-06667 | 04/04/2012 | Claimant(s): Colman McCarthy
Claimant Lawyers(s): John D. Singer
Respondent(s): Michael Byl, William Schloth, Southridge Investment Group LL
Respondent Lawyers(s): David E. Danovitch
Arbitrator(s): Carolyn A. Mann, Leah R. Marks, Sherri L. Hughes
Hearing Site: New York, NY
| | $780,100 |
| 11-02046 | 03/05/2012 | Claimant(s): Phil Henningsen
Claimant Lawyers(s): Philip C Henningsen
Respondent(s): Madison Trading
Respondent Lawyers(s): Samuel Baruki Cohen
Arbitrator(s): Carolyn A. Mann
Hearing Site: New York, NY
| | |
| 09-00286 | 06/24/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Gregory Kenzik
Respondent Lawyers(s): Neil A. Sussman
Arbitrator(s): Carolyn A. Mann, Preston V. Pumphrey, Alun Hywel Jones
Hearing Site: New York, NY
| | |
| 10-03192 | 06/16/2011 | Claimant(s): John Gramins
Claimant Lawyers(s): Mark E. Ruddy
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Gayle S. Sanders, Carolyn A. Mann, Jeffrey P. Bachmann
Hearing Site: New York, NY
| | |
| 09-01121 | 06/09/2011 | Claimant(s): Yasir Sabri
Claimant Lawyers(s): John D. Singer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Christal J. Henner, Carolyn A. Mann, Ivan W. Harper
Hearing Site: New York, NY
| | |
| 09-07046 | 04/05/2011 | Claimant(s): William Copperill
Claimant Lawyers(s): Robert J. Boller
Respondent(s): Mitchell Sloane, Westrock Advisors.
Respondent Lawyers(s): Andrew Shapiro, Mitchell H. Sloane
Arbitrator(s): Carolyn A. Mann, Michael J. Deodati, Daniel J. Brooks
Hearing Site: New York, NY
| | $489,710 |
