18-03984 | 12/04/2020 | Claimant(s): Larry Schmalz, Robin Schmalz Claimant Lawyers(s): Daniel D'Costa Respondent(s): David Spratt, Joseph Amato, Kujtim Lulani, Michael Castillero, Rocco Guidicipietro, Thomas Sullivan, Alexander Capital, L.P. Respondent Lawyers(s): Lawrence R. Gelber, Scott Holcomb Arbitrator(s): Royce Russell, Gerald M. Levine, Peter E. Gillespie Hearing Site: New York, NY
| | Settlement |
17-01570 | 12/29/2017 | Claimant(s): Lina R. Williams, Peter G. Williams Claimant Lawyers(s): Howard Meyers Respondent(s): Thomas Sullivan, Lampert Capital Markets Inc. Respondent Lawyers(s): James P. Donohue Arbitrator(s): Ira S. Cure Hearing Site: New York, NY
| | $0 |
12-04047 | 01/27/2014 | Claimant(s): John Klesney Claimant Lawyers(s): Anthony V. Trogan Respondent(s): Alan Underberg, Jason Meyers, Thomas Sullivan, ICM Capital Markets Ltd., Lampert Capital Markets Inc. Respondent Lawyers(s): Dennis J. Lavasseur, Jason M. Meyers Arbitrator(s): Barry Goldman Hearing Site: Detroit, MI
| | $35,000 |
08-05032 | 11/29/2012 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Timothy N. Will Respondent(s): Thomas Sullivan Respondent Lawyers(s): Stephen F. Boutin Arbitrator(s): Mary H. Evans, Peter Anthony Sigal Hearing Site: San Francisco, CA
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