22-01815 | 06/16/2023 | Claimant(s): BGC Financial, L.P. Claimant Lawyers(s): Nirav Shah Respondent(s): David Nierenberg, TJM Investments Respondent Lawyers(s): Jonathan Sack Arbitrator(s): Larry Kars, Charles L. Henderson, Virginia Mary Hunt Hearing Site: New York, NY
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19-00001 | 05/05/2022 | Claimant(s): Legend Securities. Claimant Lawyers(s): Salvatore Caruso Respondent(s): COR Clearing LLC, Stocktrade Network. Respondent Lawyers(s): Carl S. Burkalter, Salvatore Caruso Arbitrator(s): Charles L. Henderson, Madelyn A. Levy, Thomas Hansen Boast Hearing Site: New York, NY
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19-03719 | 03/03/2021 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Tracey Salmon-Smith Respondent(s): Mark Boccuzzi Respondent Lawyers(s): Jeremy L. Bartell Arbitrator(s): David S. Billet, Charles L. Henderson, Joseph I. Liebman Hearing Site: New York, NY
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17-03028 | 03/14/2019 | Claimant(s): Michael Liciardello Claimant Lawyers(s): Michael M. Liciardello Respondent(s): Newedge USA LLC Respondent Lawyers(s): Stacie R. Hartman Arbitrator(s): Joseph J. Arata, William G. Binckes, Charles L. Henderson Hearing Site: New York, NY
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15-03311 | 07/01/2016 | Claimant(s): Steven Sormani Claimant Lawyers(s): Trae D. Meyr Respondent(s): David Lerner Associates. Respondent Lawyers(s): Trae D. Meyr Arbitrator(s): Charles L. Henderson, David I. Goldblatt, Brooks White Hearing Site: New York, NY
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12-04263 | 02/12/2014 | Claimant(s): Standard Credit Securities Inc., Tradition Asiel Securities Inc. Claimant Lawyers(s): Ernest Edward Badway Respondent(s): Mischler Financial Group. Respondent Lawyers(s): Sylvia Scott Arbitrator(s): Charles L. Henderson, Robert I. Adler, Lisa Lograno Hearing Site: New York, NY
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10-02937 | 11/26/2013 | Claimant(s): Morgan Stanley Claimant Lawyers(s): Deborah G. Evans Respondent(s): David Honigstock Respondent Lawyers(s): Paul A. Lieberman Arbitrator(s): Charles L. Henderson, Elizabeth Elster Granville, Walter M. Schackman Hearing Site: New York, NY
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11-01476 | 05/08/2013 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Megan M. Christensen Respondent(s): Michael Boylan Respondent Lawyers(s): Michael Boylan Arbitrator(s): Charles L. Henderson, Howard L. Sobel, Veera V. Konka Hearing Site: New York, NY
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08-04330 | 03/11/2010 | Claimant(s): Henrietta Silverman Claimant Lawyers(s): Jeffrey W. Kleiner Respondent(s): Barry Richter, Stifel, Nicolaus & Co.., Leonard Weintraub, Sheila Richter Respondent Lawyers(s): Joseph F. Generelli, Leonard Weintraub Arbitrator(s): Robert L. Nisely, Charles S. Guggenheimer, Charles L. Henderson Hearing Site: New York, NY
| | Expungement |
07-00945 | 10/15/2009 | Claimant(s): Leslie Cox-Colon Claimant Lawyers(s): Gary Klein Respondent(s): Citigroup Global Markets., Juan Colon-Collazo, Loretta Chiofolo Respondent Lawyers(s): Edward N. Lerner, William A. Hohauser Arbitrator(s): Edward G. Toptani, Charles L. Henderson, Laurence D. Rose Hearing Site: New York, NY
| | $273,717 |