| 17-02925 | 05/10/2018 | Claimant(s): Michael Fasciglione
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation, First Montauk Securities Corp., Josephthal & Co..
Respondent Lawyers(s): Fred N. Knopf, John T. McGuire, Robert I. Rabinowitz
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | |
| 15-01484 | 04/04/2018 | Claimant(s): Euro Pacific Capital.
Claimant Lawyers(s): Rachael Kierych
Respondent(s): Oppenheimer & Co. Inc.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Robert J. Kheel, Jack Friedman, Jerry M. Greenspan
Hearing Site: New York, NY
| | |
| 17-01479 | 03/08/2018 | Claimant(s): S2K Financial LLC
Claimant Lawyers(s): Joseph V. Moreno
Respondent(s): John Napoleone
Respondent Lawyers(s): Amy Beckstand
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | |
| 16-03130 | 07/21/2017 | Claimant(s): John Erdmann
Claimant Lawyers(s): Seth Huberman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn Dietrich Perreault
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | |
| 15-01121 | 04/05/2017 | Claimant(s): V. Nicklin, Riverlife Investment Holdings LLC, Estate of Freda W. Nicklin, Franklin C. Nicklin Test,Trust FOB
Claimant Lawyers(s): Marc D. Powers
Respondent(s): C. L. King & Associates.
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Jack Friedman, Sherri L. Hughes, Josian Antoine
Hearing Site: New York, NY
|  | $0 |
| 10-03265 | 12/06/2016 | Claimant(s): Tullett Prebon Financial Services LLC
Claimant Lawyers(s): Ryan M. Duffy
Respondent(s): Richard Higgs, Stephen Duckworth, Suncica Reljic, Traditional Asiel Securities Inc., Tullett Prebon (Americas) Holding Inc., Tullett Prebon Americas Corp., Tullett Prebon PLC
Respondent Lawyers(s): Kevin J. Smith, Laura R. Petroff, Thomas P. Lane
Arbitrator(s): Jack Friedman, Sam Antar, Mary Julia O'Connell
Hearing Site: New York, NY
| | |
| 15-00899 | 10/13/2016 | Claimant(s): Clifford Murray
Claimant Lawyers(s): Alexander Rayskin
Respondent(s): Empire Asset Management Company
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): Jack Friedman, Noah D. Sorkin, Amy Banet
Hearing Site: New York, NY
| | |
| 14-00584 | 11/20/2015 | Claimant(s): Nico Phillips
Claimant Lawyers(s): Nico Phillips
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Thomas E. Duggan, Jack Friedman, Sandra J. Mullings
Hearing Site: New York, NY
| | $0 |
| 15-01026 | 09/25/2015 | Claimant(s): Gilford Securities Incorporated
Claimant Lawyers(s): Michael Kalmus
Respondent(s): Peter Dubin
Respondent Lawyers(s): Peter David Dubin
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | |
| 13-02079 | 06/23/2015 | Claimant(s): Muriel Sturm
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Christopher J. Scanlon
Arbitrator(s): Romaine L. Gardner, Jack Friedman, Ellyn S. Roth
Hearing Site: New York, NY
| | $30,000 |
