| 10-01683 | 05/04/2011 | Claimant(s): Robert Baisa
Claimant Lawyers(s): Brian J. Neville
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Juli Aylesworth
Arbitrator(s): Susan C. Lushing, John Daly, Robert I. Adler
Hearing Site: New York, NY
|  | $0 |
| 10-03099 | 10/20/2010 | Claimant(s): Helen Grant and Eugene Grant
Claimant Lawyers(s): Brian J. Neville
Respondent(s): Greg Schaefer, Dillon Scott Securities.
Respondent Lawyers(s): Greg Scott Schaefer, Jack Lubitz
Arbitrator(s): Howard Weitz
Hearing Site: New York, NY
| | $167,358 |
| 08-03335 | 10/05/2010 | Claimant(s): Don Colcolough, Don Paul Colcolough and Anna Colcolough
Claimant Lawyers(s): Brian J. Neville
Respondent(s): John Colcolough, UBS Financial Services Inc., Stephens.
Respondent Lawyers(s): Kim Fowler, Patricia Christinasen
Arbitrator(s): Wendie L. Wachtel, Richard P. Regan, Jane C. Carney
Hearing Site: Washington, DC
| | $0 |
| 07-01535 | 04/29/2009 | Claimant(s): Wall Street Access Corporation
Claimant Lawyers(s): Brian J. Neville
Respondent(s): Scott Wertheim, CapTrust Financial Advisors
Respondent Lawyers(s): Amie Flower Carmack
Arbitrator(s): Paul C. Kurland, Edward Baer, Denzil J. Klippel
Hearing Site: New York, NY
| | |
| 04-07111 | 10/10/2007 | Claimant(s): Michael Distefano
Claimant Lawyers(s): Brian J. Neville
Respondent(s): David Chepauskas, Summit Equities.
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Harry D. Frisch, Anthony P. Connolly, Joseph F. Kelley
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 05-05681 | 08/28/2007 | Claimant(s): Granite Associates
Claimant Lawyers(s): Catania Facher
Respondent(s): James Flower, Michael Resciniti, Richard Coleman, Thomas Tedeschi, Wayne Ford
Respondent Lawyers(s): Brett D. Zinner, Brian J. Neville
Arbitrator(s): Cecilia B. Loving, Ira S. Cure, Anthony Charles Ginetto
Hearing Site: New York, NY
| | |
