| 14-00937 | 12/27/2016 | Claimant(s): BTIG
Claimant Lawyers(s): Scott T. Nonaka
Respondent(s): Ahmad Moussavi, David Connors, Deirdre McCoy, Jacques Tizabi, Jay Chapler, M. Khan, Marc Wade, Mark Valentine, Michael Cheng, Nima Montazeri, Sam Halim, Scott Dorey, BHP International Markets, Ltd., Floyd Associates., Silver Leaf Partners
Respondent Lawyers(s): Anthony S. Kikivarakis, Harry Delagrammatikas, John R. Loftus, Kasey Curtis, Liam O' Brien, Mark E. Valentine, Steven M. Goldsobel, Stuart A. Shanus
Arbitrator(s): Robert D. Sussin, Michael W. Burnett, Alan Bert Nishimura
Hearing Site: Los Angeles, CA
| | |
| 15-01494 | 08/08/2016 | Claimant(s): Mark Savage, M1 Capital Advisors LLC
Claimant Lawyers(s): Samuel M. Johnson
Respondent(s): Halcyon Cabot Partners, Ltd.
Respondent Lawyers(s): Ronald Heineman
Arbitrator(s): Douglas Randall Blohm, Frederick Ramos, Leo G. Stern
Hearing Site: Minneapolis, MN
|  | $132,925 |
| 14-03870 | 07/12/2016 | Claimant(s): Frank Christensen
Claimant Lawyers(s): Anthony Paduano
Respondent(s): Mark Nauman, William Gollner, KCCI, Ltd., Lampert Capital Markets Inc.
Respondent Lawyers(s): Paul F. Carvelli, Randy Lampert
Arbitrator(s): Richard W. Vallario, Thomas E. Duggan, Madelyn A. Levy
Hearing Site: New York, NY
| | |
| 15-01421 | 01/11/2016 | Claimant(s): Vera Bensimhon
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Abraham Bensimhon, Halcyon Cabot Partners, Ltd.
Respondent Lawyers(s): Adam J. Gana, Ronald Heineman
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
| | $44,317 |
| 12-02031 | 11/14/2014 | Claimant(s): Dean Hart
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Andrew Trochez, Craig Josephberg, Halcyon Cabot Partners, Ltd.
Respondent Lawyers(s): Andrew Jesus Trochez, Anthony C. Varbero, Craig L. Josephberg
Arbitrator(s): Arnold Wagner
Hearing Site: New York, NY
| | $25,000 |
| 12-03307 | 09/16/2014 | Claimant(s): Mounang Desai, U&M Desai Ltd.
Claimant Lawyers(s): Glenn R. LeMay
Respondent(s): Eric Foster, Michael Morris, Halcyon Cabot Partners, Ltd.
Respondent Lawyers(s): Eric Foster, Maranda E. Fritz
Arbitrator(s): James Sean Healey, John K. Boyce, Michael S. Wilk
Hearing Site: Houston, TX
| | $264,450 |
| 13-01167 | 08/13/2014 | Claimant(s): Pelican Holdings, Ltd.
Claimant Lawyers(s): Jason A. Gibson
Respondent(s): Jeffrey Taylor, Vanguard Marketing Corporation
Respondent Lawyers(s): Joshua R. Dutill
Arbitrator(s): Michael S. Wilk, Robert Alan Meyer, Samuel Olutola Akeju
Hearing Site: Houston, TX
| | Expungement |
| 12-03152 | 03/10/2014 | Claimant(s): Ricky McReynolds
Claimant Lawyers(s): Ricky Allen McReynolds
Respondent(s): Robbi Jones, Kipling Jones & Co., Ltd.
Respondent Lawyers(s): R. Kipling Jones
Arbitrator(s): John J. Bucko, D. Bruce Shine, Neil Harvey Smith
Hearing Site: Nashville, TN
| | |
| 12-00385 | 08/21/2013 | Claimant(s): Richard Groff, Wealth Management International, Ltd.
Claimant Lawyers(s): Edwin A. Barkel
Respondent(s): Adam Carlini, Jackie Groff, Jennifer Carlini, Dynamic Wealth Management LLC
Respondent Lawyers(s): Cory L. Braddock, Edwin A. Barkel
Arbitrator(s): Charles W. Herf, Eugene R. Nielson, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | |
| 10-03554 | 07/03/2013 | Claimant(s): College Health and Investment, Ltd.
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Paul W. Sterman, Will Murphy, Kenneth E. Merklen
Hearing Site: Boca Raton, FL
| | $2,752,050 |
