| 12-01484 | 12/06/2013 | Claimant(s): Eilene York
Claimant Lawyers(s): Cynthia R. Levin Moulton
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Edward M. Olson, Patrick R. Sughroue, Michael J. Meeusen
Hearing Site: Detroit, MI
|  | $0 |
| 13-00337 | 11/15/2013 | Claimant(s): Dong Lee
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Theodore O. Rogers
Arbitrator(s): Martin Jay Siegel, Walter Michael Mathews, Joanne Basso Mack
Hearing Site: New York, NY
| | |
| 12-02116 | 10/31/2013 | Claimant(s): Richard Silver
Claimant Lawyers(s): John D. Singer
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Kenneth Ashton
Arbitrator(s): Glen R. Stifelman, Eugene G. P. Byrne, Roger L Gavan
Hearing Site: New York, NY
| | |
| 12-02453 | 09/19/2013 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Patrick G. King
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Frank Samuelsohn, Susan L. Walker, Marcia Bonita Gevers
Hearing Site: Chicago, IL
| | |
| 10-03943 | 07/18/2013 | Claimant(s): Timothy Stephens
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Walter Schneider, Barclays Capital Inc., Barclays Wealth
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Larry J. Sklar, Daniel J. Pagnano, Deirdre Renee Fuller
Hearing Site: Houston, TX
| | Amended Stipulated Award and Expungement |
| 11-03824 | 06/14/2013 | Claimant(s): Robyn Zivic
Claimant Lawyers(s): Jonathan Rogin
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Patrick W. Shea
Arbitrator(s): Joan M. Traub, Judith P. Brooks, Gregory J. Getz
Hearing Site: New York, NY
| | |
| 12-03671 | 05/23/2013 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Barry S. Gold
Respondent(s): David Konsky d/b/a Forest Advisors
Respondent Lawyers(s): David Konsky
Arbitrator(s): David Finnegan
Hearing Site: New York, NY
| | $0 |
| 11-02699 | 03/26/2013 | Claimant(s): Lori Koh
Claimant Lawyers(s): Jonathan S. Sack
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): James R. Duncan, Ralph B. Perry, Robert B. Hansohn
Hearing Site: Los Angeles, CA
| | |
| 11-03124 | 03/14/2013 | Claimant(s): James Kuczmarski
Claimant Lawyers(s): Michael G. Berger
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Patrick Shea
Arbitrator(s): Annamaria Boccia Smith, David J. Weisenfeld, Kevin P. Feerick
Hearing Site: New York, NY
| | |
| 11-04068 | 11/29/2012 | Claimant(s): Edward Laborio
Claimant Lawyers(s): Edward Laborio
Respondent(s): Robert Myers, Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Laila Asmar Folk, Elena G. Rodriguez, Adrienne Elizabeth Rowles
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
