| 21-00141 | 09/26/2022 | Claimant(s): Fatima Menou
Claimant Lawyers(s): Scott Doherty
Respondent(s): Rohit Chaku, Xiao Huang, Barclays Capital.
Respondent Lawyers(s): Victoria Sloan Lin
Arbitrator(s): Robert J. Kheel, Leona Beane, Steven Gary Leventhal
Hearing Site: New York, NY
| | |
| 20-00033 | 09/09/2022 | Claimant(s): Mark Kolta
Claimant Lawyers(s): Mark S. Kolta
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Daniel Scott Furst
Arbitrator(s): Robert J. Kheel, Joan Caridi, Judith B Weinstock
Hearing Site: New York, NY
| | |
| 20-01635 | 06/07/2021 | Claimant(s): Christ Baltas, Michael Chakos, Vincent Mangone
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Worden Capital Management LLC, Jamie Worden
Respondent Lawyers(s): William M. Dailey
Arbitrator(s): Robert J. Kheel, Harvey Barrison, Jerome Bernard McDevitt
Hearing Site: New York, NY
| | |
| 19-02615 | 08/26/2020 | Claimant(s): John Melchior
Claimant Lawyers(s): Michael B. Ranis
Respondent(s): New York Life Insurance Company
Respondent Lawyers(s): Michael Banks
Arbitrator(s): Robert J. Kheel, Michael S. Lazan, Pierre F. de Ravel d'Esclapon
Hearing Site: New York, NY
| | |
| 19-00942 | 12/13/2019 | Claimant(s): Adam Stevko
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Robert J. Kheel
Hearing Site: New York, NY
| | |
| 19-01681 | 10/18/2019 | Claimant(s): Benjamin Sax
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Robert J. Kheel
Hearing Site: New York, NY
| | |
| 17-02392 | 07/05/2018 | Claimant(s): Adam Riback
Claimant Lawyers(s): David Hirschberg
Respondent(s): Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Robert J. Kheel
Hearing Site: New York, NY
| | |
| 15-01484 | 04/04/2018 | Claimant(s): Euro Pacific Capital.
Claimant Lawyers(s): Rachael Kierych
Respondent(s): Oppenheimer & Co. Inc.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Robert J. Kheel, Jack Friedman, Jerry M. Greenspan
Hearing Site: New York, NY
| | |
| 14-03759 | 04/27/2017 | Claimant(s): Steven Rakoff
Claimant Lawyers(s): Adam Gana
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Robert J. Kheel, Madelyn A. Levy, Natalie Jennifer Bordeaux
Hearing Site: New York, NY
|  | Expungement |
| 15-00034 | 05/13/2016 | Claimant(s): Estate of Virginia Clavan
Claimant Lawyers(s): Peter Clavan
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Robert J. Kheel, Romaine L. Gardner, Steven Gary Leventhal
Hearing Site: New York, NY
| | $0 |
