| 14-02310 | 10/16/2017 | Claimant(s): Kevin Gordon
Claimant Lawyers(s): Aegis J. Frumento
Respondent(s): Louis Scotto, BGC Financial, L.P.
Respondent Lawyers(s): David A. Paul
Arbitrator(s): Richard W. Vallario, Barbara J. Glenns, Mary Lou McGanney
Hearing Site: New York, NY
| | |
| 13-01842 | 06/03/2014 | Claimant(s): Maureen Mahon
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): John Fay, Robert Bond, Newedge USA
Respondent Lawyers(s): Karen Brody
Arbitrator(s): Barbara J. Glenns, Irene C. Warshauer, Yvette Strong
Hearing Site: New York, NY
| | |
| 12-03512 | 08/07/2013 | Claimant(s): Hari Polavarapu
Claimant Lawyers(s): Hari Chandra Polavarapu
Respondent(s): Auriga USA
Respondent Lawyers(s): Richard W. Chun
Arbitrator(s): Barbara J. Glenns, Theresa R. Joyner, Linda Ashley
Hearing Site: New York, NY
| | |
| 11-01126 | 06/12/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D Weinreich
Respondent(s): Edgar Ramirez, Rene Joliot, Romel Rodriguez
Respondent Lawyers(s): Margaret E. Peper
Arbitrator(s): Barbara J. Glenns, Romaine L. Gardner, Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | |
| 09-01400 | 11/24/2010 | Claimant(s): Kenneth Epstein
Claimant Lawyers(s): Kenneth Robert Epstein
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Michael E. Olney, Barbara J. Glenns, Frank Irizarry
Hearing Site: New York, NY
| | |
| 09-01381 | 05/26/2010 | Claimant(s): Guy Girgenti
Claimant Lawyers(s): Guy Girgenti
Respondent(s): Janice Ginsburg, Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Barbara J. Glenns, Madelyn A. Levy, Philip R. Lochner
Hearing Site: New York, NY
|  | Expungement |
| 09-01732 | 05/19/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Michael J. DiMattia
Respondent(s): Jeremy Donefer, John Pasacreta, John Rotando, Jordan Samelson, Morgan Stanley & Co.
Respondent Lawyers(s): John Greco, Philip J. Campisi
Arbitrator(s): Barbara J. Glenns, Melvin S. Slade, Aaron Tyk
Hearing Site: New York, NY
| | |
| 08-04681 | 05/11/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John McGuire
Respondent(s): Daniel Cialini
Respondent Lawyers(s): Daniel D. Cialini
Arbitrator(s): Barbara J. Glenns
Hearing Site: New York, NY
| | |
| 08-01732 | 01/30/2009 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Edward L. Rose
Respondent(s): Sidney Oliphant
Respondent Lawyers(s): Sidney J. Oliphant
Arbitrator(s): Barbara J. Glenns
Hearing Site: New York, NY
| | |
| 06-01289 | 03/18/2008 | Claimant(s): Angelo & Benedetta Pisani
Claimant Lawyers(s): Lisa A. Catalano
Respondent(s): Ari Elfenbein, Steven Bernstein, Capital Growth Financial
Respondent Lawyers(s): Adam H. Smith, Michael S. Jacobs, Steven Stang Bernstein
Arbitrator(s): Barbara J. Glenns, Ilene Barbara Zatkin-Butler, Randall K. Berger
Hearing Site: New York, NY
| | $40,500 |
