| 12-01451 | 02/04/2013 | Claimant(s): J.D. Nicholas & Associates.
Claimant Lawyers(s): Ian Frimet
Respondent(s): James Webb, Larry Yager, Michael Lovett, Paul Nardella, Cape Securities Inc.
Respondent Lawyers(s): John A. Fortuna, Ron Amato
Arbitrator(s): Michael J. McAllister, Marilyn J. Salzman, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | |
| 11-03524 | 11/16/2012 | Claimant(s): Lucy Patriarca
Claimant Lawyers(s): Gary E. Roth
Respondent(s): Louis Parks, Peter Bulger, C. L. King & Associates.
Respondent Lawyers(s): Lisa F. Joslin
Arbitrator(s): Keely D. Parr, Ernesto V. Luzzatto, David J. Weisenfeld
Hearing Site: New York, NY
| | |
| 09-06282 | 07/30/2012 | Claimant(s): Arlene Scanlan
Claimant Lawyers(s): Steven L. Manchel
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Evelyn Bukchin
Arbitrator(s): Joseph J. Arata, Ernesto V. Luzzatto, Scott W. Mulford
Hearing Site: New York, NY
|  | $150,000 |
| 10-02950 | 11/01/2011 | Claimant(s): Richard Guido
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Dora M. Lassinger, Ernesto V. Luzzatto, David Jeremy Mattana
Hearing Site: New York, NY
| | Expungement |
| 08-01222 | 05/25/2010 | Claimant(s): Gary Mohamed
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Jonathan L. Isreal
Arbitrator(s): Richard W Berenger, Howard Breindel, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | |
| 06-03133 | 08/03/2009 | Claimant(s): Ronald Marks
Claimant Lawyers(s): Walter D'Ull
Respondent(s): MBSC Securities Corporation
Respondent Lawyers(s): Ronald Shingh
Arbitrator(s): Richard D. Gueren, Allan E. Johnson, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | $0 |
| 06-04655 | 09/17/2007 | Claimant(s): Richard Ford
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Andrew Samalin, Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Daniel B. Berkson, Leah G. Rabinowitz, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | $0 |
