| 15-02443 | 01/29/2019 | Claimant(s): David Lerner Associates.
Claimant Lawyers(s): Gene L. Small
Respondent(s): Charles Margiasso, Daniel Burns, Edward Finocchiaro, Wells Fargo Advisors, Joseph Lafferty, Loreto Testani, Martin Weiss, Michael Rosen, Mitchell Fischer, Timothy Cheriaparampil
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Fred S. Pieroni, Francis Carling, Charles Norman Weinberg
Hearing Site: New York, NY
| | |
| 16-01877 | 12/29/2017 | Claimant(s): Bright Lake Management LLC, Bright Lake LP
Claimant Lawyers(s): Ilan Preis
Respondent(s): Broadcort Capital Corporation, Jack Seibald, Merrill Lynch Pierce Fenner & Smith Inc., Michael Rosen, Robert Moore, Concept Capital Markets, Cowen Prime Services LLC, Merrill Lynch Professional Clearing Corp
Respondent Lawyers(s): Mark D. Knoll, Mark J. Hyland
Arbitrator(s): Anna M. Fanelli, Lynne M. Reid-McQueen, Richard Gee
Hearing Site: New York, NY
|  | $0 |
| 16-01147 | 11/30/2017 | Claimant(s): Kulruedee Wongpakdee, Steven Hoffner
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Jack Seibald, Michael Rosen, Wayne Geffen, Burnham Securities Inc., Cowen Prime Services LLC, Concept Capital Markets LLC
Respondent Lawyers(s): John Burnham, Jordan D. Becker, Mark J. Hyland
Arbitrator(s): Cynthia A. DiMarco, Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | Expungement |
