| 14-03457 | 04/13/2016 | Claimant(s): John Carris Investments LLC
Claimant Lawyers(s): Christopher P. Greeley
Respondent(s): COR Clearing LLC
Respondent Lawyers(s): Willard Knox
Arbitrator(s): Berton Seltzberg, Anthony J. Raimondi, Susan E. Harkins
Hearing Site: New York, NY
| | |
| 15-00029 | 12/24/2015 | Claimant(s): Jason Taylor
Claimant Lawyers(s): Willard Knox
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Harry J Saginaw
Hearing Site: Dallas, TX
| | |
| 13-02629 | 10/13/2014 | Claimant(s): Robert Tarlowe, Stuart Tarlowe
Claimant Lawyers(s): Robert Lewis Tarlowe, Stuart Alan Tarlowe
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Willard Knox
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
| | |
| 10-00037 | 11/20/2012 | Claimant(s): Elizabeth Jones, Susan Simon
Claimant Lawyers(s): Willard Knox
Respondent(s): Walnut Street Securities.
Respondent Lawyers(s): Kevin J. Smith
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 09-05498 | 07/29/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward B. Magarian
Respondent(s): Todd Feldman
Respondent Lawyers(s): Willard Knox
Arbitrator(s): Edward M. Statland, E. William Pastor, Robert Vaughan Cornish
Hearing Site: Washington, DC
| | |
| 09-05497 | 05/23/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward B. Magarian
Respondent(s): David Bekenstein
Respondent Lawyers(s): Willard Knox
Arbitrator(s): Joseph A. Kenary, Carol Ann Anderson, Mark Cammann Pyle
Hearing Site: Washington, DC
| | |
