| 16-02478 | 03/16/2017 | Claimant(s): Ramnarain Jaigobind
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): John Hitchings
Arbitrator(s): Jeffrey F. Friedman, Sam Antar, Anna Lascar
Hearing Site: New York, NY
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| 14-00212 | 03/24/2016 | Claimant(s): Newoak Capital LLC, Newoak Capital Markets LLC
Claimant Lawyers(s): Joseph M. Pastore
Respondent(s): Alexander Sellinger, Bryan Nagy, Patrick Mahon, Samuel Warren, Brean Capital
Respondent Lawyers(s): Thomas J. Fleming
Arbitrator(s): Jeffrey F. Friedman, Steven J. Brill, Michele S. Riley
Hearing Site: New York, NY
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| 14-00257 | 03/01/2016 | Claimant(s): Penson Technologies LLC
Claimant Lawyers(s): Virgina C. Palitz
Respondent(s): Opus Trading Fund LLC
Respondent Lawyers(s): Michael R. Yellin
Arbitrator(s): Leonard M. Bakal, Jeffrey F. Friedman, Eric S. Hutner
Hearing Site: New York, NY
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| 12-01162 | 01/06/2015 | Claimant(s): James Kibbe
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Francis X. Dee
Arbitrator(s): Richard W. Vallario, Jeffrey F. Friedman, Carole L. Green
Hearing Site: New York, NY
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| 12-04323 | 10/10/2014 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s): Arthur Wiener and Paulette Wiener
Respondent Lawyers(s): Justin D'elia
Arbitrator(s): Jeffrey F. Friedman, Joel P. Mellis, Robert E. Anderson
Hearing Site: New York, NY
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| 09-03651 | 11/05/2010 | Claimant(s): Anne Flannery, Francis Flannery
Claimant Lawyers(s): Michael C. Deutsch
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bryan I. Reyhani
Arbitrator(s): Robert Youdelman, Jeffrey F. Friedman, Wayne I. Harris
Hearing Site: New York, NY
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| 07-03282 | 03/03/2009 | Claimant(s): Joseph Stevens & Company.
Claimant Lawyers(s): Seth Huberman
Respondent(s): Henry Sanabria, John Sideris, Joseph Blocken, Louis Scalise, Mark Dalcollo, Renatto Cornejo, Thomas Gallagher, Vincent Trapozzano
Respondent Lawyers(s): Henry Sanabria, John Chris Sideris, Joseph Blocken, Louis Peter Scalise, Mark Dalcollo, Renatto Antonino Cornejo, Thomas Ranger Gallagher, Vincent Manuel Trapozzano
Arbitrator(s): Daniel B. Berkson, Jeffrey F. Friedman, Mark A. Egert
Hearing Site: New York, NY
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