| 22-01915 | 01/26/2024 | Claimant(s): Paul De Villeneuve
Claimant Lawyers(s): Paul Y. De Villeneuve
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Marjorie Levine, Hammed Adeniyi, Jonathan Blank
Hearing Site: New York, NY
|  | $440 |
| 19-00859 | 09/13/2022 | Claimant(s): Terence Dolan, Benjamin & Jerold Brokerage I
Claimant Lawyers(s): Warren A. Raiti
Respondent(s): Cowen and Company
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): James M. Rhodes, Mitchell Regenbogen, Robert Lee Bull
Hearing Site: New York, NY
| | |
| 17-02822 | 01/25/2022 | Claimant(s): Jerome Kemper, Larry Grondahl, Peggy Monette, Clinton and Pamela Rasmussen, Gregory and Vickie Heller, Kenneth and Kristine Kuhn, Mark and Kari Kringen, Steven and Elaine Sinness, Connie E. Lee Living Trust
Claimant Lawyers(s): Brandon S. Reif
Respondent(s): Alexandra Lebenthal, James Lebenthal, Myles Blechner, Lebenthal & Co.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Herbert Liberman, P J Boylan, Ilene T. Gormly
Hearing Site: Bismarck, ND
| | Expungement |
| 18-02391 | 11/25/2019 | Claimant(s): Iraida Nigaglioni
Claimant Lawyers(s): Eric Quetglas Jordan
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Daniel R. Korb, Roberto C. Quinones
Arbitrator(s): Eric Spencer Buchanan, Robert Stewart Barney, Magda M. Fernandez Torres
Hearing Site: San Juan, PR
| | $215,738 |
| 18-01175 | 09/09/2019 | Claimant(s): Cary Grill
Claimant Lawyers(s): Cary Gill
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Fred S. Pieroni, Robert R. Salman, Sidney Seligman
Hearing Site: Newark, NJ
| | Settlement |
| 17-01934 | 09/07/2018 | Claimant(s): Courtia Worth, Pamela Graft Revocable Trust, Yellow Rose of Texas Trust
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Alexandra Lebenthal, James Lebenthal, Myles Blechner
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Linda J. Baer, Arthur Neil Tolciss, Richard Gee
Hearing Site: New York, NY
| | Expungement |
| 15-01433 | 10/13/2016 | Claimant(s): Daniel Ramjohn
Claimant Lawyers(s): Brittany Weiner
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Roger J. Hawke, Joan M. Traub, Franklin P. Chapman
Hearing Site: New York, NY
| | |
| 14-01061 | 02/23/2016 | Claimant(s): Rochdale Securities LLC
Claimant Lawyers(s): Aaron Romney
Respondent(s): Daniel Crowley, Pershing LLC
Respondent Lawyers(s): Christopher J. Major, Daniel R. Korb
Arbitrator(s): Paul Bennett Marrow, Michele S. Riley, Raymond A. Urci
Hearing Site: New York, NY
| | |
| 12-03797 | 02/02/2015 | Claimant(s): Marcos Bowers
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Daniel R. Korb, Jr.
Arbitrator(s): Richard S. Zaifert, John C. Holmes, Michael S. Kozlow
Hearing Site: Miami, FL
| | |
| 13-00266 | 11/22/2013 | Claimant(s): Rinico Sawyer
Claimant Lawyers(s): Robert Heim
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Fred S. Pieroni, Lori H. Carena, Robert J. Miller
Hearing Site: New York, NY
| | |
