| 20-03928 | 03/24/2023 | Claimant(s): ODS Capital
Claimant Lawyers(s): Jo Ann Palchak
Respondent(s): Pershing LLC, Celadon Financial Group, Merrill Lynch Professional Clearing Corp
Respondent Lawyers(s): Brian F. Amery, Lawrence Portnoy, Ronald Shindler
Arbitrator(s): George G. Kurschner, Milena Domenica Macias, Martin I Jaffe
Hearing Site: Boca Raton, FL
|  | $0 |
| 13-03470 | 08/01/2016 | Claimant(s): Luis Marquez, L.A. Marquez.
Claimant Lawyers(s): Francisco Pujol, Harold Vicente Colon
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of PR.
Respondent Lawyers(s): Brian F. Amery, Laura T. Ruiz-Rivera
Arbitrator(s): Gerald Silverman, Elena G. Rodriguez, Christopher J. Klein
Hearing Site: Miami, FL
| | $500,000 |
| 10-04928 | 10/15/2012 | Claimant(s): Michael Steifman
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brian F. Amery
Arbitrator(s): Robert Pincus, James N. Baxter, Eugene G. P. Byrne
Hearing Site: New York, NY
| | $630,357 |
| 10-02458 | 06/30/2011 | Claimant(s): David Dateshidze, Irakli Glonti
Claimant Lawyers(s): Arnold I. Kalman
Respondent(s): RBC Dain Rauscher.
Respondent Lawyers(s): Brian F. Amery
Arbitrator(s): James J. Fishman, Lucas A. Ferrara, Judith E. Gross
Hearing Site: New York, NY
| | $0 |
| 08-04007 | 05/21/2010 | Claimant(s): Luby's Restaurants Limited Partnership
Claimant Lawyers(s): Roy Camberg
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Brian F. Amery
Arbitrator(s): Carol Ann Stapper, Larry J. Craddock, Allan R. Lazor
Hearing Site: Houston, TX
| | Auction Rate Securities related |
| 08-00405 | 02/18/2010 | Claimant(s): David Dateshidze, Irakli Gionti
Claimant Lawyers(s): Arnold I. Kalman
Respondent(s): RBC Dain Rauscher.
Respondent Lawyers(s): Brian F. Amery
Arbitrator(s): Barry A. Mahler, Clarence Smith, Paul R. Walsh
Hearing Site: New York, NY
| | $1,065,600 |
| 06-05218 | 02/25/2009 | Claimant(s): Agisilaos Cofinas, Fernando Canotilho De Sousa, Fordhill Services Ltd., Global Ocean Int'l Investments, Ltd., Athanassia Vlahaki and Nikolaidis Laza, Ioannis and Sofia Allagiannis
Claimant Lawyers(s): David P. Heim
Respondent(s): Sterling Financial Investment Group,In
Respondent Lawyers(s): Joshua Bleil
Arbitrator(s): Brian F. Amery, Anthony J. Hom, Cecilia B. Loving
Hearing Site: New York, NY
| | $5,232,730 |
| 07-03486 | 12/31/2008 | Claimant(s): Anthony Maccarone, Antoinette Maccarone, Steven Horn, Tara Horn
Claimant Lawyers(s): Stuart D. Meissner
Respondent(s): Julie Mains, Norman Malo, Scott Brooks, Stanley Brooks, Troy Gagliardi, Brookstreet Securities Corporation
Respondent Lawyers(s): Brian F. Amery, H. Thomas Fehn, Julie Brooks Mains, Ryan P. Farley, Scott Stanley Brooks, Stanley Clifton Brooks
Arbitrator(s): Richard S. Peskin, Michael J. Maran, Catherine Tinker
Hearing Site: New York, NY
| | $102,439 |
| 06-05368 | 10/15/2008 | Claimant(s): Ji Wei
Claimant Lawyers(s): Bruce J. Rome
Respondent(s): Credit Suisse Securities (USA) LLC, Zhu Jun, Natural Flow Limited
Respondent Lawyers(s): Brian F. Amery, Bruce J. Rome, Jason P. Lee
Arbitrator(s): Charles E. Farnsworth, Jerold R. Babin, James S. Martin
Hearing Site: San Francisco, CA
| | Stipulated Award |
| 06-02538 | 10/31/2007 | Claimant(s): Bernard McDaniel
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Daniel Fais, Kevin Murphy, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brian F. Amery
Arbitrator(s): Timothy F. Shanahan
Hearing Site: Boston, MA
| | Stipulated Award and Expungement |
