| 15-03345 | 05/14/2018 | Claimant(s): Titan Capital Group II LLC
Claimant Lawyers(s): Russell Abrams
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Daniel A. Spector
Arbitrator(s): Kip C. Lubcke, John Daly, W. Jeffrey Weinlandt
Hearing Site: New York, NY
|  | Dismissed by Rule 12504/12212 |
| 16-01041 | 09/28/2016 | Claimant(s): Prime Executions.
Claimant Lawyers(s): Donna H. Clancy
Respondent(s): Vincent Favaro
Respondent Lawyers(s): John A. Daniels
Arbitrator(s): John Daly
Hearing Site: New York, NY
| | |
| 16-00324 | 08/24/2016 | Claimant(s): Helen Sylvester
Claimant Lawyers(s): Helen Sylvester
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Joseph C. Pickard
Arbitrator(s): John Daly
Hearing Site: New York, NY
| | $0 |
| 15-00386 | 12/30/2015 | Claimant(s): Richard Zinman
Claimant Lawyers(s): Aari Itzkowitz
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): John Daly, Robert E. Anderson, Thomas A. Abitabile
Hearing Site: New York, NY
| | |
| 13-00608 | 06/16/2015 | Claimant(s): Gleacher & Company Securities.
Claimant Lawyers(s): David Hille
Respondent(s): Alexander Diss, Andrew Hain, Brian Taddeo, Douglas Coy, Edward Doyle, Jane Mikorenda, Jeffrey Sprengel, John Campbell, John Fleming, Marc Santodomingo, Mark Bryant, Mark Colm, Matthew Swope, Michael Tama, Nicholas Casesa, Robert W. Baird & Co. Incorporated, Peter Brady, Richard Rossi, Robert Haviland, Thomas Lobue, et al
Respondent Lawyers(s): Jonathan D. Miller
Arbitrator(s): Hugh N. Fryer, John Daly, Rebecca Ann Berlow
Hearing Site: New York, NY
| | |
| 11-04589 | 07/29/2014 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): John D. Giansello
Respondent(s): Craig Forster
Respondent Lawyers(s): Ruthann Granito Niosi
Arbitrator(s): John Daly
Hearing Site: New York, NY
| | |
| 11-04582 | 12/18/2013 | Claimant(s): Steven Oberdorfer
Claimant Lawyers(s): Aaron M. Goldsmith
Respondent(s): Ronald Moschetta, Strasbourger Pearson Tulcin Wolff Inc., Todd And Company.
Respondent Lawyers(s): Compliance Officer, Ronald Moschetta
Arbitrator(s): John Daly, Amy Y. Moy, David John Reilly
Hearing Site: New York, NY
| | $100,000 |
| 12-03571 | 10/15/2013 | Claimant(s): Isolde Cooper, George Cooper Irrevocable Trust
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Brian Redican, Citigroup Global Markets.
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Barnard Seligman, John Daly, Richard Bryce Nesson
Hearing Site: New York, NY
| | Expungement |
| 12-04220 | 09/24/2013 | Claimant(s): Michael Fliegelman
Claimant Lawyers(s): Judith L. Goldsborough
Respondent(s): Park Avenue Securities LLC
Respondent Lawyers(s): John C. Kelly
Arbitrator(s): Brian J. Burstin, John Daly, Eric Steven Greenebaum
Hearing Site: New York, NY
| | |
| 11-00581 | 02/12/2013 | Claimant(s): Thomas Lynch
Claimant Lawyers(s): Carmelyn Malalis
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Charles P. Axelrod, John Daly, Adam M. Kauff
Hearing Site: New York, NY
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