| 15-00532 | 12/29/2016 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): David Russell
Respondent(s): Richard Comeau
Respondent Lawyers(s): Michael C. Deutsch
Arbitrator(s): Raymond Nardo, Doris Lindbergh, Linda J. Baer
Hearing Site: New York, NY
| | |
| 15-00036 | 12/28/2016 | Claimant(s): Anthony Garvin
Claimant Lawyers(s): Barry R. Lax
Respondent(s): David Gilio, Burnham Securities Inc.
Respondent Lawyers(s): David S. Gilio, W. Nolan Sheehan
Arbitrator(s): Linda J. Baer, Edmund Siejka, Joseph Leo Calabrese
Hearing Site: New York, NY
| | |
| 15-00815 | 10/19/2016 | Claimant(s): Metehan Erim
Claimant Lawyers(s): Jason J. LeBoeuf
Respondent(s): Carol Doran-Timmins, Craig Pruett, Eric Tepper, J.P. Morgan Securities, Manuel Ruiz, Michael Ayerov, Robert Smalls
Respondent Lawyers(s): Matthew Wholey
Arbitrator(s): Charles L. Prothero, Linda J. Baer, Peter John Maurice Forbes
Hearing Site: Newark, NJ
| | |
| 15-02512 | 08/03/2016 | Claimant(s): Arthur Degen
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Sanford S. Stevens, Linda J. Baer, Francis Carling
Hearing Site: New York, NY
|  | Dismissed by Rule 12206 |
| 15-00607 | 05/18/2016 | Claimant(s): Christopher Griffith, Gregory Martino
Claimant Lawyers(s): Christopher Griffith, Gregory Martino
Respondent(s): Darnell Deans, Franklin Ogele, Blackbook Capital LLC
Respondent Lawyers(s): Darnell Deans, Michael James Maloney
Arbitrator(s): Linda J. Baer, Theodore M. Davis, James Vincent Poma
Hearing Site: New York, NY
| | |
| 14-02717 | 01/29/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Gavin Natelli
Respondent Lawyers(s): John P. Nulty
Arbitrator(s): Linda J. Baer, Edward W. Morris, Michael Joseph Mignano
Hearing Site: Newark, NJ
| | |
| 15-01163 | 01/07/2016 | Claimant(s): Jerry S. Needleman
Claimant Lawyers(s): Jerry S. Needleman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Heather K. Murphy
Arbitrator(s): Linda J. Baer
Hearing Site: New York, NY
| | $38 |
| 13-00108 | 12/29/2015 | Claimant(s): Jeffrey Press
Claimant Lawyers(s): Patrick James Boyd
Respondent(s): Euro Pacific Capital.
Respondent Lawyers(s): Peter Chema
Arbitrator(s): Robina Fedora Asti, Jill I. Gross, Linda J. Baer
Hearing Site: New York, NY
| | |
| 14-00462 | 12/11/2015 | Claimant(s): Estate of Stanley Stein, Tracy Stein IRA, Laura Weiss Trust, Tracy Stein, PACE, Trust u/w Bonnie R. Stein
Claimant Lawyers(s): Gary Menzer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Susan C. Lushing, Linda J. Baer, Lawrence H. Teich
Hearing Site: New York, NY
| | $0 |
| 14-01929 | 08/24/2015 | Claimant(s): Saagar Gupta
Claimant Lawyers(s): Daniel E. Rhynhart
Respondent(s): HAP Trading
Respondent Lawyers(s): Ira Lee Sorkin
Arbitrator(s): Daniel B. Berkson, Howard L. Sobel, Linda J. Baer
Hearing Site: New York, NY
| | |
