| 09-05038 | 12/29/2010 | Claimant(s): George Comeau
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Jack Friedman, Christopher C. Gorski, Abigail J. Pessen
Hearing Site: New York, NY
|  | Expungement |
| 10-02038 | 12/08/2010 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Christopher G. Massey
Respondent(s): Ryan Aldridge
Respondent Lawyers(s): Ryan William Aldridge
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | |
| 10-02807 | 11/09/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Troy Lambert
Respondent Lawyers(s): Troy Lambert
Arbitrator(s): Jack Friedman
Hearing Site: Philadelphia, PA
| | |
| 10-00588 | 06/25/2010 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Thomas Boan
Respondent Lawyers(s): Thomas M. Boan
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | |
| 09-06602 | 06/15/2010 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Frank Polsinello
Respondent Lawyers(s): Frank Joseph Polsinello
Arbitrator(s): Jack Friedman
Hearing Site: Albany, NY
| | |
| 08-04698 | 05/21/2010 | Claimant(s): Anthony Brown
Claimant Lawyers(s): Shona B. Glink
Respondent(s): Daniel Livingstone, UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth G. Crowley, Kenneth Crowley
Arbitrator(s): Jack Friedman, Alfred H. Kingon, Erica Levitt
Hearing Site: New York, NY
| | $0 |
| 08-01792 | 12/31/2009 | Claimant(s): Barbara Tichner
Claimant Lawyers(s): Ruthann G. Niosi
Respondent(s): Barnett Chepenik, Jason Chepenik, Chepenik Financial, Lincoln Financial Advisors Corp., NRP Financial.
Respondent Lawyers(s): Luigi Spadafora, Peter J. Biging, Sam Edgerton
Arbitrator(s): Jack Friedman, William E.S. Browning, Ira M. Ross
Hearing Site: New York, NY
| | Settlement |
| 09-02686 | 12/16/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph D. MacLellan
Respondent(s): Mark Amrhein
Respondent Lawyers(s): Mark Amrhein
Arbitrator(s): Jack Friedman, Michelle Jacobowitz Gallagher, John Carl Cirincion
Hearing Site: New York, NY
| | $0 |
| 08-00256 | 12/12/2008 | Claimant(s): EKN Financial Services.
Claimant Lawyers(s): Robert M. Bursky
Respondent(s): Jazz Singh, Jason Associates.
Respondent Lawyers(s): Jazz Singh, President or Compliance Officer
Arbitrator(s): Jack Friedman, Joseph B. Russell, Richard D. Levin
Hearing Site: New York, NY
| | $0 |
| 07-02523 | 10/03/2008 | Claimant(s): Amy Gibbons
Claimant Lawyers(s): Jonathan Sack
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Jack Friedman, Valerie Robbin Watts, Andrea Harum Schiavoni
Hearing Site: New York, NY
| | |
