| 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 |
| 10-05354 | 12/15/2011 | Claimant(s): Michael Subrizi
Claimant Lawyers(s): Michael Subrizi
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Alun W. Griffiths
Arbitrator(s): Elizabeth Gilbert, Ellyn S. Roth, Alan Gradzki
Hearing Site: New York, NY
| | |
| 10-02602 | 12/02/2011 | Claimant(s): A.K. Capital
Claimant Lawyers(s): Matthew E. Lipman
Respondent(s): Thomas McHugh, The Princeridge Group LLC, Triton Funding Partners
Respondent Lawyers(s): Daniel Cevallos, Victor C. Bushell
Arbitrator(s): Randolph Guggenheimer, Ellyn S. Roth, Robert Bartels
Hearing Site: New York, NY
| | |
| 10-05192 | 11/04/2011 | Claimant(s): CIBC World Markets Corp.
Claimant Lawyers(s): Lloyd S. Clareman
Respondent(s): Stanley Stern
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Ellyn S. Roth, Terrance J. Nolan, John Clark Van Steen
Hearing Site: New York, NY
| | |
| 10-03444 | 07/28/2011 | Claimant(s): John Wilson
Claimant Lawyers(s): Paul T. Shoemaker
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Robert N. Holtzman
Arbitrator(s): Alida D. Camp, Sherri L. Hughes, Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 09-02088 | 03/22/2011 | Claimant(s): Freedom Investors Corp.
Claimant Lawyers(s): Harry Delagrammatikas
Respondent(s): Sydney Pinter, Kahal Shomrei Hadath, non-profit Synagog
Respondent Lawyers(s): Sydner Pinter
Arbitrator(s): Marilyn J. Salzman, Martin Hunger, Ellyn S. Roth
Hearing Site: New York, NY
| | $0 |
| 08-00978 | 11/19/2010 | Claimant(s): Gregory Doane
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Robert L. Spangler, Anna M. Fanelli, Ellyn S. Roth
Hearing Site: New York, NY
| | $0 |
| 08-04980 | 10/06/2010 | Claimant(s): Timothy Stevens
Claimant Lawyers(s): David I. Greenberger
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): George Sommerfeld, Alex Cohen, Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 09-01178 | 08/31/2010 | Claimant(s): Christopher Carthew
Claimant Lawyers(s): Adam Gana
Respondent(s): Eric Gretchyn, Milestone Financial Services.
Respondent Lawyers(s): Dan A. Druz, Matthew Schonberg
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
| | $90,000 |
| 08-03300 | 06/18/2010 | Claimant(s): Richard Jedwab and Marilyn Jedwab
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): John J. Nielands
Arbitrator(s): Fred L. Simon, Ellyn S. Roth, Jeffrey P. Halperin
Hearing Site: New York, NY
| | $0 |
