| 18-00749 | 12/21/2018 | Claimant(s): Windsor Street Capital
Claimant Lawyers(s): Robert I Rabinowitz
Respondent(s): Mackey Alligood, Scott Werling
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): John J. Vesey, Alan Steven Brodherson, Judith B Weinstock
Hearing Site: New York, NY
| | |
| 17-02104 | 06/26/2018 | Claimant(s): Leslie and Joel Greenberg
Claimant Lawyers(s): Joel M. Greenberg
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Steven Davidson, Merrill Lynch Wealth Management
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Sandra J. Mullings, Michael J. Maran, John J. Vesey
Hearing Site: New York, NY
|  | $0 |
| 16-03350 | 05/18/2018 | Claimant(s): Thomas Lee
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Patrick W. Shea
Arbitrator(s): John J. Vesey, Kenneth F. Leder, John Michael Richardson
Hearing Site: New York, NY
| | |
| 15-03346 | 04/17/2017 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): John Fisher
Respondent Lawyers(s): Michael Mui
Arbitrator(s): John J. Vesey
Hearing Site: New York, NY
| | |
| 15-00973 | 07/01/2016 | Claimant(s): Keith Lind
Claimant Lawyers(s): Jonathan Sack
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Patrick J. Lamparello
Arbitrator(s): David S. Billet, Allan N. Taffet, John J. Vesey
Hearing Site: New York, NY
| | |
| 15-00308 | 06/16/2016 | Claimant(s): Bernardo Gattass
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Corey D. Winer
Arbitrator(s): Bernard A. Kesselman, John J. Vesey, Denise N. Seegobin
Hearing Site: New York, NY
| | |
| 15-01318 | 05/23/2016 | Claimant(s): Edward O'Connell
Claimant Lawyers(s): Aegis J. Frumento
Respondent(s): Glenn Haberfield, John O'Connell
Respondent Lawyers(s): Pearl Zuchlewski
Arbitrator(s): Karen M. Cullen, John J. Vesey, Matthew Fenster
Hearing Site: New York, NY
| | |
| 12-03528 | 04/26/2016 | Claimant(s): Jennifer Palladino, Joseph Palladino, Susan Palladino, Susan and Joseph Palladino
Claimant Lawyers(s): Joseph M. Burke
Respondent(s): David Lerner Associates., Michael Norton
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Richard W. Sachse, William E. Nuckel, John J. Vesey
Hearing Site: New York, NY
| | Expungement |
| 15-01042 | 02/11/2016 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Neil Okun
Respondent Lawyers(s): Neil Seth Okun
Arbitrator(s): John J. Vesey
Hearing Site: New York, NY
| | |
| 14-02705 | 10/27/2015 | Claimant(s): James and Agnes Kane
Claimant Lawyers(s): James Kane
Respondent(s): Joseph Carrino, Victor Lessinger, Brookstone Securities.
Respondent Lawyers(s): David Locy, Joseph Michael Carrino, Victor Alan Lessinger
Arbitrator(s): John J. Vesey
Hearing Site: New York, NY
| | $16,480 |
