| 18-00473 | 08/31/2018 | Claimant(s): David Christensen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 17-01806 | 08/23/2018 | Claimant(s): Gopal Tampi
Claimant Lawyers(s): Daniel J Kaiser
Respondent(s): Nomura Securities International.
Respondent Lawyers(s): Joel A. Chernov
Arbitrator(s): Leonard M. Bakal, Linda Ashley, Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 16-00514 | 02/15/2018 | Claimant(s): Jason Wright, Lenoir Wright
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Frank Fusco, John Smith, Jonathan Miller, Salvatore Caruso, Legend Securities.
Respondent Lawyers(s): Frank Phillip Fusco, John Victor Smith, Jonathan J. Miller, Salvatore Charles Caruso, Salvatore Caruso
Arbitrator(s): Richard W. Cutler, Ellyn S. Roth, George Bartos
Hearing Site: New York, NY
|  | $181,970 |
| 16-03259 | 08/29/2017 | Claimant(s): Paul Stawinski
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors, The Equitable Life Assurance Society Of
Respondent Lawyers(s): Cheryl Howard
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 16-01375 | 05/08/2017 | Claimant(s): Todd Brown
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Scott R. Koch
Arbitrator(s): Roger J. Hawke, Ellyn S. Roth, Peter McClellan Wright
Hearing Site: New York, NY
| | |
| 16-00726 | 05/04/2017 | Claimant(s): Jedd Levine, Jon Burrows, Joseph Lucchese
Claimant Lawyers(s): Julie E. Ravis
Respondent(s): Divine Capital Markets LLC
Respondent Lawyers(s): Barry Bordetsky
Arbitrator(s): Keely D. Parr, Ellyn S. Roth, Matthew Megally
Hearing Site: New York, NY
| | |
| 16-02686 | 04/13/2017 | Claimant(s): Howard Shapiro, Iris Hahn, Marcia Shapiro
Claimant Lawyers(s): David Edgar Bamberger
Respondent(s): Ilan Preis
Respondent Lawyers(s): Ilan Nathan Preis
Arbitrator(s): David I. Goldblatt, Ellyn S. Roth, Thomas E. Mehrtens
Hearing Site: New York, NY
| | $531,165 |
| 16-02020 | 01/26/2017 | Claimant(s): Laidlaw & Company (uk) Ltd.
Claimant Lawyers(s): Ross D. Carmel
Respondent(s): Manuel Paredes
Respondent Lawyers(s): Manuel Tomas Paredes
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 14-02988 | 10/07/2016 | Claimant(s): Brandon Decker
Claimant Lawyers(s): Brandon George Decker
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): David E. Strand
Arbitrator(s): Howard D. Jacob, Ellyn S. Roth, Thomas Naylor
Hearing Site: New York, NY
| | |
| 15-00190 | 07/08/2016 | Claimant(s): David Alvarez, George Medina, Pablo Quesnel
Claimant Lawyers(s): Alexander M. Dudelson
Respondent(s): WallachBeth Capital LLC
Respondent Lawyers(s): Steven D. Oppenheim
Arbitrator(s): Steven J. Petrie, Raymond Nardo, Ellyn S. Roth
Hearing Site: New York, NY
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