| 17-00964 | 06/05/2018 | Claimant(s): Edward Collins
Claimant Lawyers(s): Philip C . Semprevivo
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Sara Soto
Arbitrator(s): David I. Goldblatt, Lynne M. Reid-McQueen, Mark J. Happe
Hearing Site: New York, NY
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| 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
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| 15-00726 | 05/19/2015 | Claimant(s): Santander Bank, N.A., Santander Securities LLC
Claimant Lawyers(s): David M. Belcher
Respondent(s): Robert Grossman
Respondent Lawyers(s): Robert Keith Grossman
Arbitrator(s): Cynthia A. DiMarco, Mark J. Happe, Robert Francis Littlejohn
Hearing Site: New York, NY
| | |
| 13-00145 | 08/22/2013 | Claimant(s): David Prockter
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Mark J. Happe
Hearing Site: New York, NY
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| 12-03706 | 04/18/2013 | Claimant(s): A. R. Schmeidler & Co..
Claimant Lawyers(s): Timothy Coon
Respondent(s): UBS Financial Services Inc., Michael Kahn
Respondent Lawyers(s): James Komie, Louis Lagalante
Arbitrator(s): Sandra J. Mullings, Cynthia A. DiMarco, Mark J. Happe
Hearing Site: New York, NY
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| 09-05934 | 07/11/2011 | Claimant(s): HAP Trading
Claimant Lawyers(s): Thomas J. McCabe
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Gabrielle Gould
Arbitrator(s): Robert L. Spangler, Allan N. Taffet, Mark J. Happe
Hearing Site: New York, NY
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| 09-04936 | 06/09/2011 | Claimant(s): Brook Payner
Claimant Lawyers(s): Donald Chase
Respondent(s): Natixis Securities North America Inc.
Respondent Lawyers(s): Bertrand C. Sellier
Arbitrator(s): Mark J. Happe, Sam Antar
Hearing Site: New York, NY
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| 10-05444 | 03/16/2011 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Morgan Stanley, Stephen Beatty
Respondent Lawyers(s): David A. Stein, Joe Gehring
Arbitrator(s): Aubrey Lees, Mark J. Happe, Royce Russell
Hearing Site: New York, NY
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| 08-00873 | 06/24/2010 | Claimant(s): Zain Abdullah
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Calyon Securities (USA) Inc
Respondent Lawyers(s): Barbara M. Roth
Arbitrator(s): Howard Breindel, Mark Mendley, Mark J. Happe
Hearing Site: New York, NY
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| 08-03949 | 08/26/2009 | Claimant(s): John Holloway
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Meredith M. Thompson
Arbitrator(s): Lawrence M. Oberdank, Mark J. Happe, Robert N. Kohn
Hearing Site: Birmingham, AL
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