| 15-02956 | 12/28/2016 | Claimant(s): Royce Potts
Claimant Lawyers(s): Royce H. Potts
Respondent(s): Mutual Of Omaha Investor Services.
Respondent Lawyers(s): Alison M. Gutierrez
Arbitrator(s): Mary Ellen Burns, Annamaria Boccia Smith, Mariane A. Liebowitz
Hearing Site: New York, NY
| | |
| 16-00551 | 08/09/2016 | Claimant(s): Eric Berger
Claimant Lawyers(s): Ted Poretz
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Deborah Burstein
Arbitrator(s): Martin Jay Siegel, Arnold Wagner, Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 15-00120 | 04/27/2016 | Claimant(s): Alexander Scanlon
Claimant Lawyers(s): Sanford Durmain
Respondent(s): J.P. Morgan Securities LLC
Respondent Lawyers(s): Tibor L. Nagy
Arbitrator(s): Martin Izaak, Jerome H. Levy, Annamaria Boccia Smith
Hearing Site: New York, NY
|  | $0 |
| 15-00837 | 03/31/2016 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Ian H. Hummel
Respondent(s): Prism Technologies
Respondent Lawyers(s): Bonnie M. Boryca
Arbitrator(s): Catherine Ladnier, Alice J. P. Lee-Getman, Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 14-02572 | 03/09/2016 | Claimant(s): Camilo Betancourt, Luz Betancourt
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Annamaria Boccia Smith, Ellyn S. Roth, Alice Holly Oshins
Hearing Site: New York, NY
| | Expungement |
| 12-01493 | 07/16/2015 | Claimant(s): GunnAllen Financial
Claimant Lawyers(s): Daniel P. Dietrich
Respondent(s): Jack Tagliaferro
Respondent Lawyers(s): Jack Joseph Tagliaferro
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 14-03215 | 05/13/2015 | Claimant(s): David Wasitowski
Claimant Lawyers(s): Gregory L. Smith
Respondent(s): Pali Capital.
Respondent Lawyers(s): Yann Geron
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 14-01067 | 10/21/2014 | Claimant(s): John Parmigiani
Claimant Lawyers(s): Ian J. Frimet
Respondent(s): S.W. Bach & Company
Respondent Lawyers(s): Scott Shapiro
Arbitrator(s): Annamaria Boccia Smith, John Clark Van Steen, James Alexander Brown
Hearing Site: New York, NY
| | |
| 13-01555 | 10/30/2013 | Claimant(s): Philip Deng
Claimant Lawyers(s): Philip Y. Deng
Respondent(s): optionsXpress.
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | $88 |
| 11-03559 | 07/23/2013 | Claimant(s): Varoujan Khorozian
Claimant Lawyers(s): Matthew M. Keshisian
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Leo Kogan
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | $0 |
