21-03123 | 06/16/2023 | Claimant(s): BPY Limited, Murchinson LTD, Nomis Bay Limited Claimant Lawyers(s): David S. Richan Respondent(s): Cassel Shapiro, Paul Zogala, Robert Eide, Aegis Capital Corp. Respondent Lawyers(s): Aaron F. Miner, David S. Richan, Richard A. Roth Arbitrator(s): Peter A. Goldman, Jeffrey Alan Helewitz, Sherman Guo Hearing Site: New York, NY
| | $0 |
19-01147 | 12/27/2019 | Claimant(s): O'Donnell Family Limited Partnership Claimant Lawyers(s): Craig O'Donnell Respondent(s): Eric Rubenstein, Steven Kolinsky Respondent Lawyers(s): Richard A. Roth, Steven Ira Kolinsky Arbitrator(s): Perry Earl Phillips Hearing Site: Boca Raton, FL
| | $0 |
14-00343 | 12/17/2018 | Claimant(s): Utility Service Holding Company. Claimant Lawyers(s): J. Michael Bishop Respondent(s): Candace Weir, C. L. King & Associates. Respondent Lawyers(s): Christopher F. Robertson, Richard A. Roth Arbitrator(s): Gary J. Leshaw, John D. Mattingly, Yvette L. Nurse Hearing Site: Atlanta, GA
| | $0 |
13-03595 | 07/11/2018 | Claimant(s): EFCO Products Defined Contribution, EFCO Products Defined Contribution Union, EFCO Products Profit Sharing/401(K) Plan Claimant Lawyers(s): Sandra P. Lanhens Respondent(s): Candace Weir, C. L. King & Associates. Respondent Lawyers(s): Christopher Robertson, Richard A. Roth Arbitrator(s): Dan Brecher, Daniel Robbins, Annamaria Boccia Smith Hearing Site: New York, NY
| | $0 |
15-01198 | 11/03/2017 | Claimant(s): NSB Advisors LLC Claimant Lawyers(s): Ramsey Hinkle Respondent(s): C.L. King & Associates. Respondent Lawyers(s): Richard A. Roth Arbitrator(s): Joseph B. Russell, Carole L. Green Hearing Site: New York, NY
| | $1,750,000 |
14-02898 | 05/08/2017 | Claimant(s): Benjamin Peters Trust dtd 12/3/1993, Ellen Mia Peters Trust, Lynn E. Gorguze Separate Property Trust, Vincent and Gloria Gorguze Trust dtd 3/2 Claimant Lawyers(s): John G. Rich, Ross B. Intelisano Respondent(s): Candace Weir, C. L. King & Associates. Respondent Lawyers(s): Christopher F. Robertson, Richard A. Roth Arbitrator(s): Otis E. Hackett, Michael D. Briggs, Randall Brian Christison Hearing Site: San Diego, CA
| | $0 |
12-02927 | 11/25/2016 | Claimant(s): C. L. King & Associates. Claimant Lawyers(s): Richard A. Roth Respondent(s): William Nicklin Respondent Lawyers(s): Steven J. Shore Arbitrator(s): Romaine L. Gardner, Joseph B. Russell, Carole L. Green Hearing Site: New York, NY
| | $0 |
13-03653 | 04/10/2015 | Claimant(s): Erno Bodek Claimant Lawyers(s): Charles Goldstein Respondent(s): Jeffrey Auerbach, Vfinance Investments Respondent Lawyers(s): Richard A. Roth Arbitrator(s): Larry H. Irom, Fred L. Simon, Geri S. Krauss Hearing Site: New York, NY
| | Expungement |
12-02032 | 03/03/2014 | Claimant(s): Daniel Baron Claimant Lawyers(s): Lars K. Soreide Respondent(s): Adam Riback, National Securities Corporation Respondent Lawyers(s): Richard A. Roth Arbitrator(s): Fred S. Pieroni, Barbara Weisman, Joan Marie Chiusano Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
10-02616 | 07/25/2012 | Claimant(s): Pinnacle Investments Claimant Lawyers(s): David L. Ward Respondent(s): Anastasia Tkatschow, George Koulouris Respondent Lawyers(s): Richard A. Roth Arbitrator(s): Richard A. Scalfani, Stephen P. LaLonde, Edmund Viele Hearing Site: Syracuse, NY
| | $0 |