| 14-03702 | 06/09/2016 | Claimant(s): Christopher Bibow
Claimant Lawyers(s): Donald L. Rhoads
Respondent(s): Thrivent Investment Management Inc., Thrivent Financial for Lutherans
Respondent Lawyers(s): Melissa Raphan
Arbitrator(s): Linda Yarden, Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 14-02572 | 03/09/2016 | Claimant(s): Camilo Betancourt, Luz Betancourt
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Annamaria Boccia Smith, Ellyn S. Roth, Alice Holly Oshins
Hearing Site: New York, NY
|  | Expungement |
| 10-04744 | 06/26/2015 | Claimant(s): Ontonimo (OMO) Limited
Claimant Lawyers(s): Barry R. Lax
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Harry Frischer
Arbitrator(s): Peter A. Goldman, Ellyn S. Roth, Albert L. Akerman
Hearing Site: New York, NY
| | $16,600,000 |
| 13-02079 | 06/23/2015 | Claimant(s): Muriel Sturm
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Christopher J. Scanlon
Arbitrator(s): Romaine L. Gardner, Jack Friedman, Ellyn S. Roth
Hearing Site: New York, NY
| | $30,000 |
| 13-00564 | 06/16/2015 | Claimant(s): Blackbook Capital LLC
Claimant Lawyers(s): Frank I. Ogele
Respondent(s): Raffael Riverso
Respondent Lawyers(s): Raffael Giglio Riverso
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 13-03097 | 10/29/2014 | Claimant(s): Wink Mora
Claimant Lawyers(s): Robert N. Chan
Respondent(s): Sea Port Group Securities
Respondent Lawyers(s): Ronald G. Blum
Arbitrator(s): Robert S. Getman, Eric J. Sussman, Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 14-00571 | 09/23/2014 | Claimant(s): Ian Cole
Claimant Lawyers(s): Ian S. Cole
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Jay M. Israel
Arbitrator(s): Ellyn S. Roth, Paul A Candeletti, Amy Jill Baranoff
Hearing Site: New York, NY
| | |
| 13-00823 | 06/06/2014 | Claimant(s): Michael Rose
Claimant Lawyers(s): Bryan I. Reyhani
Respondent(s): Dominick & Dominick LLC
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Herbert N. Fishman, Philip Rachmelowitz, Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 11-01330 | 07/01/2013 | Claimant(s): Nifly, LLP
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): J.P. Morgan Securities Inc.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Sam Antar, Ellyn S. Roth, Dolores D. Balsamo
Hearing Site: New York, NY
| | $55,000 |
| 09-00878 | 01/30/2013 | Claimant(s): US Airways.
Claimant Lawyers(s): Robert W. Henoch
Respondent(s): Oppenheimer & Co.., Vincent Woo
Respondent Lawyers(s): Suzan Jo, Thomas J. Hennessey
Arbitrator(s): Catherine I. Gulevich, James S. Hazard, Ellyn S. Roth
Hearing Site: New York, NY
| | $30,000,000 |
