23-01364 | 06/03/2024 | Claimant(s): Marinos Ballas Claimant Lawyers(s): Michael H. Ference Respondent(s): Aegis Capital Corp. Respondent Lawyers(s): Kevin Meade Arbitrator(s): Gerald M. Levine Hearing Site: New York, NY
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20-03078 | 10/13/2021 | Claimant(s): James Alexander Claimant Lawyers(s): Steven M. McCauley Respondent(s): Joseph Depasquale, American Capital Partners Respondent Lawyers(s): Michael H. Ference Arbitrator(s): Bill Swinford, Frederick Ramos, Janet Marie Graham Hearing Site: Louisville, KY
| | Expungement |
09-05596 | 01/17/2013 | Claimant(s): Lloyd Gillespie Claimant Lawyers(s): Richard B. Fosher Respondent(s): Oppenheimer & Co.., Joshua Barg, Aegis Capital Corp. Respondent Lawyers(s): Andrew R. Harvin, Michael H. Ference, Ted Poretz Arbitrator(s): Donald K. Eckhardt, James M. Alexander, Malcolm Edwin Whittaker Hearing Site: Houston, TX
| | $1,074,600 |
09-04797 | 02/29/2012 | Claimant(s): Cutler Group, DC Trading Partners L.L.C., Everest Trading, MOG Capital L.L.C., Vtrader Pro Claimant Lawyers(s): Martin P. Russo Respondent(s): Joseph Pires, Kellogg Capital Group LLC, Kellogg Capital Markets, US Clearing Corp Respondent Lawyers(s): George Brunelle, Michael H. Ference Arbitrator(s): Douglas F. Stone, Christina Kallas, Sam Antar Hearing Site: New York, NY
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08-00449 | 05/20/2009 | Claimant(s): Gordon Levey Claimant Lawyers(s): Michael Schwartzberg Respondent(s): Barret Naylor, Douglas Lowey, Brownstone Investment Group Respondent Lawyers(s): Eric B. Fisher, Michael H. Ference Arbitrator(s): Hugh N. Fryer, Peter A. Goldman, Michael F. Spellman Hearing Site: New York, NY
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08-00969 | 10/17/2008 | Claimant(s): Aegis Capital Corp. Claimant Lawyers(s): Michael H. Ference Respondent(s): Munir Mrkulic Respondent Lawyers(s): Munir Henry Mrkulic Arbitrator(s): Judith E. Gross Hearing Site: New York, NY
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