| 15-03282 | 08/18/2016 | Claimant(s): Stephen McCourt
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Labron Toles, Sonya Still
Respondent Lawyers(s): Labron Manosa Toles, Marc S. Gottlieb
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
|  | $300 |
| 14-00212 | 03/24/2016 | Claimant(s): Newoak Capital LLC, Newoak Capital Markets LLC
Claimant Lawyers(s): Joseph M. Pastore
Respondent(s): Alexander Sellinger, Bryan Nagy, Patrick Mahon, Samuel Warren, Brean Capital
Respondent Lawyers(s): Thomas J. Fleming
Arbitrator(s): Jeffrey F. Friedman, Steven J. Brill, Michele S. Riley
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
| | |
| 11-00909 | 11/13/2015 | Claimant(s): Gordon Group Investments
Claimant Lawyers(s): Gregory J. Hollon
Respondent(s): Fortis Securities LLC
Respondent Lawyers(s): James R. Levine
Arbitrator(s): Edwin S. Mruk, Bertrand M. Lanchner, Michele S. Riley
Hearing Site: New York, NY
| | $11,333,000 |
| 14-01312 | 08/11/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s): Nick Hsieh
Respondent Lawyers(s): Thomas J. McCabe
Arbitrator(s): Richard W. Cutler, Michele S. Riley, Mark J. Happe
Hearing Site: New York, NY
| | |
| 14-01705 | 07/08/2015 | Claimant(s): Estate of John Lidell
Claimant Lawyers(s): Lloyd S. Clareman
Respondent(s): Jason Klabal, Michael Mariani, Legend Securities.
Respondent Lawyers(s): David A. Gehn, Lawrence R. Gelber, Michael A. Mariani
Arbitrator(s): Susan C. Lushing, Richard Lee Mansdoerfer, Michele S. Riley
Hearing Site: New York, NY
| | $61,867 |
| 14-00534 | 04/29/2015 | Claimant(s): Dana Brett-Levy
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Castleoak Securities
Respondent Lawyers(s): Denver G. Edwards
Arbitrator(s): William G. Binckes, John B. Myers, Michele S. Riley
Hearing Site: New York, NY
| | |
| 13-01271 | 03/12/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Joshua Haron, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James A. Saville, Louis M. Lagalante
Arbitrator(s): Linda J. Baer, Brian F Loveman, Michele S. Riley
Hearing Site: New York, NY
| | |
| 14-00881 | 11/05/2014 | Claimant(s): Thomas Ferrara
Claimant Lawyers(s): Kathy M. Klock
Respondent(s): Park Avenue Securities LLC
Respondent Lawyers(s): Gordon F. Wylie
Arbitrator(s): Madelon M. Rosenfeld, Mitchell Jay Bayer, Michele S. Riley
Hearing Site: New York, NY
| | |
| 13-01857 | 10/22/2014 | Claimant(s): Drew Doscher
Claimant Lawyers(s): A. Todd Merolla
Respondent(s): Michael Meagher, Michael Meyer, Stephen Smith, Armory Advisors, Armory Fund, LLP, Sea Port Group Securities, The Seaport Group, Seaport V
Respondent Lawyers(s): Ronald G. Blum
Arbitrator(s): Kevin B. Naughten, Michele S. Riley, Robert Francis Littlejohn
Hearing Site: New York, NY
| | |
