| 10-00757 | 04/23/2014 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): Jeffrey Sullivan, John Lang, Peter Lang, Roman Ciosek, Steven Ayer, Hightower Securities
Respondent Lawyers(s): Sharron Ash
Arbitrator(s): Richard S. Peskin, William P. Laino, Steven J. Brill
Hearing Site: New York, NY
| | |
| 10-01739 | 08/12/2011 | Claimant(s): Agnes Kane, James Kane
Claimant Lawyers(s): Raymond S. Carroll
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Richard S. Peskin, Dorothy E. Morris, Jay Alan Kranis
Hearing Site: New York, NY
|  | $0 |
| 09-02178 | 07/14/2011 | Claimant(s): Patrick Zilkha
Claimant Lawyers(s): Paul A. Lanni
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Steven Labanca, Ted Candella
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Richard S. Peskin, Raymond Nardo, George E. Berkeley
Hearing Site: New York, NY
| | Expungement |
| 09-04246 | 02/01/2011 | Claimant(s): Diana Bennett, Martin Bennett
Claimant Lawyers(s): Raji Kochhar
Respondent(s): Randy Ross
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Dorothy F. Gray, Richard S. Peskin, Martin L. Feinberg
Hearing Site: New York, NY
| | $58,000 |
| 09-00294 | 08/06/2010 | Claimant(s): Jason Schecter, Lissa Fial, Lynn Schecter
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Chucks Roberts, Citigroup Global Markets., Stephen Condos, The Condos and Roberts Group
Respondent Lawyers(s): Compliance Officer, Jeffrey L. Friedman, William A. Hohauser
Arbitrator(s): Richard S. Peskin, Cynthia A. DiMarco, Martin H. Zern
Hearing Site: New York, NY
| | Expungement |
| 08-00362 | 06/15/2009 | Claimant(s): Steven Greenberg, Sylvia Greenberg, William Greenberg
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Capital Growth Financial
Respondent Lawyers(s): Compliance Officer
Arbitrator(s): James M. Baumann, Richard S. Peskin, Martin L. Feinberg
Hearing Site: New York, NY
| | $825,680 |
| 07-03486 | 12/31/2008 | Claimant(s): Anthony Maccarone, Antoinette Maccarone, Steven Horn, Tara Horn
Claimant Lawyers(s): Stuart D. Meissner
Respondent(s): Julie Mains, Norman Malo, Scott Brooks, Stanley Brooks, Troy Gagliardi, Brookstreet Securities Corporation
Respondent Lawyers(s): Brian F. Amery, H. Thomas Fehn, Julie Brooks Mains, Ryan P. Farley, Scott Stanley Brooks, Stanley Clifton Brooks
Arbitrator(s): Richard S. Peskin, Michael J. Maran, Catherine Tinker
Hearing Site: New York, NY
| | $102,439 |
| 05-05856 | 01/15/2008 | Claimant(s): Advest.
Claimant Lawyers(s): Michael J. Fortunato
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Katherine C. Helzer
Arbitrator(s): William J. Crowe, Vicki Z. Holleman, Richard S. Peskin
Hearing Site: New York, NY
| | |
| 05-05363 | 08/16/2007 | Claimant(s): Umesh Tandon
Claimant Lawyers(s): David Marek
Respondent(s): Advest.
Respondent Lawyers(s): Daniel S. Cahill
Arbitrator(s): Neil G. Gargiulo, Richard S. Peskin, John Cleaveland Palmer
Hearing Site: New York, NY
| | |
