| 18-02743 | 12/20/2019 | Claimant(s): Rochelle Taragano
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): Linda Ashley, Clarence Smith, Amy Jill Baranoff
Hearing Site: New York, NY
|  | $0 |
| 18-02731 | 04/12/2019 | Claimant(s): Adam Stern
Claimant Lawyers(s): Gregg J Breitbart
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): A. R. John Hitchings
Arbitrator(s): Amy Jill Baranoff
Hearing Site: New York, NY
| | |
| 16-00914 | 02/20/2019 | Claimant(s): Trenchant Funds USA LLC
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles B. LaChaussee
Arbitrator(s): Michael G. Shannon, Roger B. Jacobs, Amy Jill Baranoff
Hearing Site: New York, NY
| | |
| 15-02320 | 12/30/2016 | Claimant(s): David Murphy
Claimant Lawyers(s): John D. Singer
Respondent(s): Tila Azeem
Respondent Lawyers(s): John H. Snyder
Arbitrator(s): Raymond Nardo, Daniel Robbins, Amy Jill Baranoff
Hearing Site: New York, NY
| | |
| 14-01280 | 06/02/2015 | Claimant(s): Shahid Quraishi
Claimant Lawyers(s): Jonathan Sack
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Allan S. Bloom
Arbitrator(s): Sam Antar, Blossom Nicinski, Amy Jill Baranoff
Hearing Site: New York, NY
| | |
| 14-00571 | 09/23/2014 | Claimant(s): Ian Cole
Claimant Lawyers(s): Ian S. Cole
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Jay M. Israel
Arbitrator(s): Ellyn S. Roth, Paul A Candeletti, Amy Jill Baranoff
Hearing Site: New York, NY
| | |
| 12-03588 | 08/05/2014 | Claimant(s): Allyson Silverman, Glenn Edelman
Claimant Lawyers(s): August Iorio
Respondent(s): UBS Financial Services Inc., Morgan Stanley
Respondent Lawyers(s): A.J. Borelli, Christine A. Kendrick
Arbitrator(s): Madelon M. Rosenfeld, Mary Lou McGanney, Amy Jill Baranoff
Hearing Site: New York, NY
| | Expungement |
