| 16-01018 | 06/20/2019 | Claimant(s): Amy Eisner, Carolyn Herrmann, David Freilicher, Ellen Nass, Hal Nass, Helene Posnick, Herbert Pfeffer, Jean Schram, John Skalicky, Kirstine Schaeffer, Lawrence Eisner, Marc Hyman, Myrna Barzelatto, Paul Posnick, Richard Schram, Robert Gluckin, Robert Skollar, Thomas Herrmann, William Bernstein, Estate of Joan B. Gluckin, et al
Claimant Lawyers(s): Adam J. Weinstein, Adam Gana
Respondent(s): David Blisk, Suzanne McKeown, Spire Securities
Respondent Lawyers(s): Paul A. Lieberman
Arbitrator(s): Sandra D. Parker, Amy Banet, Albert Rizzo
Hearing Site: New York, NY
|  | $3,000,000 |
| 16-03360 | 06/27/2018 | Claimant(s): Daniel Malone
Claimant Lawyers(s): Benjamin D. Weisenberg
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Peter L. Altieri
Arbitrator(s): Sandra D. Parker, Nancy Kramer, Adam J. Ciffone
Hearing Site: New York, NY
| | |
| 16-01647 | 04/27/2018 | Claimant(s): Joseph Reardon
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Sandra D. Parker, Emily M. Altman, Andrew M. Schmertz
Hearing Site: New York, NY
| | |
| 17-01140 | 02/06/2018 | Claimant(s): Sddco Brokerage Advisors LLC
Claimant Lawyers(s): Kevin Koplin
Respondent(s): First Capital Real Estate Investments
Respondent Lawyers(s): Joshua D. Brinen
Arbitrator(s): Sandra D. Parker, Keely D. Parr, Tychelle Dephroneicia McLaurin
Hearing Site: New York, NY
| | |
| 16-00730 | 10/05/2016 | Claimant(s): Glenn Haberfield, John O'connell
Claimant Lawyers(s): Pearl Zuchlewski
Respondent(s): Tradition Asiel Securities Inc.
Respondent Lawyers(s): Chaim A. Levin
Arbitrator(s): Sandra D. Parker
Hearing Site: New York, NY
| | |
| 15-00943 | 02/09/2016 | Claimant(s): Beatrice Scheinbaum
Claimant Lawyers(s): Adam Gana
Respondent(s): RBC Capital Markets LLC, Metlife Investors Distribution Company
Respondent Lawyers(s): Penelope Taylor, Priscilla A. Donovan
Arbitrator(s): Sandra D. Parker, Leslie Ruth Nydick, Mitchell Regenbogen
Hearing Site: New York, NY
| | Expungement |
| 15-01276 | 01/12/2016 | Claimant(s): Jerry Stroud
Claimant Lawyers(s): Frank J. Cuccio
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Deborah Burstein
Arbitrator(s): Sandra D. Parker, James S. Hazard, John K. Evans
Hearing Site: New York, NY
| | |
| 12-04268 | 01/08/2014 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Richard Labriola
Respondent Lawyers(s): Richard Edward Labriola
Arbitrator(s): Vincent C. Pangia, Sandra D. Parker, David Francis MacNair
Hearing Site: New York, NY
| | |
| 12-03730 | 12/27/2013 | Claimant(s): Hana Friedman
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Rocco Papandrea
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Sandra D. Parker, Lynne M. Reid-McQueen, Michael Jaffe
Hearing Site: New York, NY
| | Expungement |
