| 16-02085 | 01/17/2017 | Claimant(s): Yin Lee
Claimant Lawyers(s): Yin Lee
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon Schopf
Arbitrator(s): David S. Billet
Hearing Site: New York, NY
|  | $0 |
| 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
| | |
| 15-00316 | 02/11/2016 | Claimant(s): Gopal Tampi
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): Nomura Securities International.
Respondent Lawyers(s): Nancy Prahofer
Arbitrator(s): David S. Billet, Aubrey Lees, Kevin B. Naughten
Hearing Site: New York, NY
| | |
| 13-01697 | 01/15/2016 | Claimant(s): Jean Marie Hart, Michael Hearn, Genesse Capital Advisors
Claimant Lawyers(s): John E. MacDonald
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): David S. Billet, Patrick M. Markey, Peter A.P. Dunlop
Hearing Site: Syracuse, NY
| | |
| 13-03449 | 12/17/2015 | Claimant(s): Richard Divenuto
Claimant Lawyers(s): James E. Heavey
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Edward S. Bradley, David S. Billet, Clifford Matthew Olson
Hearing Site: New York, NY
| | |
| 13-03678 | 04/01/2015 | Claimant(s): Julianna Cohen-Congress
Claimant Lawyers(s): Robert B. Weintraub
Respondent(s): TD Ameritrade., Samuel Borger, Borger Financial Services, Samuel Borger D/B/A Borger Financial Ser
Respondent Lawyers(s): Dana S. Gloor, John F. Olsen
Arbitrator(s): David S. Billet, Eva H. Posman, Arthur Neil Tolciss
Hearing Site: New York, NY
| | $0 |
| 13-03243 | 01/28/2015 | Claimant(s): Lynette Anderson
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Travis R. Chapin
Arbitrator(s): David S. Billet
Hearing Site: New York, NY
| | Expungement |
| 13-02550 | 08/11/2014 | Claimant(s): Michael Schwartz
Claimant Lawyers(s): Michael Gerald Schwartz
Respondent(s): Kerry Dukes, Ardour Capital Investments
Respondent Lawyers(s): Kerry J. Dukes
Arbitrator(s): David S. Billet
Hearing Site: New York, NY
| | |
| 12-00801 | 04/29/2014 | Claimant(s): Patricia Whitelock
Claimant Lawyers(s): Stephen R. Mahler
Respondent(s): Gregory Mowrer, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): William Hohauser
Arbitrator(s): Stanley M. Ulanoff, David S. Billet, Lloyd H. Slomanson
Hearing Site: New York, NY
| | Expungement |
| 12-01091 | 07/23/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Megan Marmion Christensen
Respondent(s): Joseph Perticone
Respondent Lawyers(s): Stephen Seeger
Arbitrator(s): David S. Billet
Hearing Site: New York, NY
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