| 18-03913 | 05/16/2019 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J Shapren
Respondent(s): Brandon Wahl
Respondent Lawyers(s): Justin R. Marino
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: New York, NY
| | |
| 18-00082 | 04/04/2019 | Claimant(s): Joseph Stonbely
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Spartan Capital Securities
Respondent Lawyers(s): Matthew N. Fiorovanti
Arbitrator(s): James J. Fishman, Karimu F. Hill-Harvey, Charles F. Eisenhardt
Hearing Site: New York, NY
|  | Expungement |
| 18-00250 | 10/08/2018 | Claimant(s): George Schietinger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Deborah Burstein
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: New York, NY
| | |
| 17-02332 | 06/22/2018 | Claimant(s): Stephen Seremetis
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: New York, NY
| | |
| 17-00802 | 01/31/2018 | Claimant(s): Primary Capital
Claimant Lawyers(s): Ross David Carmel
Respondent(s): Joseph Fuller
Respondent Lawyers(s): Joseph Patrick Fuller
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: New York, NY
| | |
| 17-00343 | 06/19/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Kenneth Helman
Respondent Lawyers(s): Kenneth Michael Helman
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: Newark, NJ
| | |
| 16-00276 | 01/30/2017 | Claimant(s): James Hoffman
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Saimir Collaku
Respondent Lawyers(s): Saimir Collaku
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: Newark, NJ
| | $98,155 |
| 15-01328 | 11/11/2016 | Claimant(s): Ginger August, Mary August, Susan August-Brown, KC August Irrevocable Trust, Mary G. August Irrevocable Trust
Claimant Lawyers(s): Sigmund D. Schutz
Respondent(s): David Chambers, Ameriprise Financial Services., Luke Reinhard
Respondent Lawyers(s): Louis M. Ciavarra
Arbitrator(s): Richard J. Grahn, Karimu F. Hill-Harvey
Hearing Site: Augusta, ME
| | Expungement |
| 15-02319 | 06/16/2016 | Claimant(s): Camille Gagliardi
Claimant Lawyers(s): Douglas A. Cho
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Kalusmeier
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: Hartford, CT
| | |
| 15-01218 | 05/11/2016 | Claimant(s): Gary Penner & Leslie-Ann Furie JTWROS, Gary Penner Profit Sharing Plan, Leslie-Ann Furie Profit Sharing Plan
Claimant Lawyers(s): Gary Penner
Respondent(s): Edward Moldaver, James Lee, Mark Stevenson
Respondent Lawyers(s): David Robbins, Jonathan L. Adler
Arbitrator(s): Karimu F. Hill-Harvey, Catherine Stewart, Marvin L. Schuldiner
Hearing Site: Newark, NJ
| | Expungement |
