| 15-00798 | 01/21/2016 | Claimant(s): James Kenny
Claimant Lawyers(s): James Kenny
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Philip J. Campisi
Arbitrator(s): Robert M. Goldstein
Hearing Site: New York, NY
| | |
| 15-00998 | 09/28/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): William Eisner
Respondent Lawyers(s): William L. Eisner
Arbitrator(s): Robert M. Goldstein
Hearing Site: New York, NY
| | |
| 14-00356 | 09/15/2015 | Claimant(s): Eden Falik
Claimant Lawyers(s): Rishi Bhandari
Respondent(s): BGC Financial, L.P.
Respondent Lawyers(s): Michael S. Popok
Arbitrator(s): Karen M. Cullen, Robert M. Goldstein, Harrison Johnson
Hearing Site: New York, NY
| | |
| 14-01484 | 12/26/2014 | Claimant(s): Peter Mitchell
Claimant Lawyers(s): Peter A. Mitchell
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Robert M. Goldstein
Hearing Site: New York, NY
|  | $88 |
| 13-01079 | 08/07/2014 | Claimant(s): Aegis Capital Corp.
Claimant Lawyers(s): Michael P. Gilmore
Respondent(s): Joseph Santiago
Respondent Lawyers(s): Joseph Santiago
Arbitrator(s): Robert M. Goldstein
Hearing Site: New York, NY
| | |
| 11-02100 | 12/30/2011 | Claimant(s): Kelly Martinsen
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Ilene Barbara Zatkin-Butler, Joseph F. Kelley, Robert M. Goldstein
Hearing Site: New York, NY
| | Expungement |
| 09-06621 | 03/21/2011 | Claimant(s): Calvin Samuels
Claimant Lawyers(s): Maria S. Wilson
Respondent(s): LPL Financial LLC, Harvey Berk
Respondent Lawyers(s): N. Nancy Ghabai
Arbitrator(s): Robert M. Goldstein
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 09-07147 | 03/01/2011 | Claimant(s): Martin Hauptman
Claimant Lawyers(s): Adolph D. Seltzer
Respondent(s): Jeffrey Alexander, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Robert L. Salzberg, Robert M. Goldstein, Nicholas Brunero
Hearing Site: New York, NY
| | $0 |
| 08-04753 | 11/05/2010 | Claimant(s): The Irina Aronson Irrevocable Trust
Claimant Lawyers(s): Gregg Scott Goodman
Respondent(s): Tod Bretton, Friedman, Schnaier & Associates
Respondent Lawyers(s): Michael P. Gilmore, Tod Bretton
Arbitrator(s): William J. Crowe, Robert M. Goldstein, Wallace Anthony Showman
Hearing Site: New York, NY
| | $175,300 |
| 09-01789 | 05/06/2010 | Claimant(s): Robert Palumbo
Claimant Lawyers(s): Robert Palumbo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Robert M. Goldstein, Lori H. Carena, Joan Marie Chiusano
Hearing Site: New York, NY
| | $0 |
