| 15-01408 | 08/02/2016 | Claimant(s): Randi Dukoff
Claimant Lawyers(s): Timothy J. O'Connor, Esq.
Respondent(s): Joel Joachim, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
|  | Dismissed by Rule 12206 |
| 15-01377 | 07/22/2016 | Claimant(s): Richard Arzaga
Claimant Lawyers(s): Daren A. Luma
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Howard D. Jacob, Keely D. Parr, Harold Glenn Stafford
Hearing Site: New York, NY
| | |
| 14-01150 | 04/15/2016 | Claimant(s): Sergio Kostek
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Don A. Innamorato
Arbitrator(s): Keely D. Parr, Joshua Mark Zucker, Nicholas C. George
Hearing Site: New York, NY
| | |
| 15-01024 | 11/13/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | |
| 13-00287 | 07/09/2015 | Claimant(s): Guy Gregoire
Claimant Lawyers(s): David A. Gehn
Respondent(s): Pershing LLC, BNY Mellon Capital Markets
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Thomas Caiaffa, Martin A. Edelstein, Keely D. Parr
Hearing Site: New York, NY
| | |
| 14-01245 | 06/03/2015 | Claimant(s): Christopher Mctammany, Noel Thompson
Claimant Lawyers(s): Terrence J. Gallagher
Respondent(s): Brenda Smith, Dean Barr, Joseph Meehan, Tom Ward, CV Brokerage, Foundation Capital Partners (U.S.) L.P., Foundation Capital Partners L.P., Foundation Capital Partners Greenwich LP, Foundation Capital Partners Inc., Foundation Capital Partners Intermediate
Respondent Lawyers(s): Kevin D. Galbraith, Sean R. O'Brien
Arbitrator(s): Martin H. Zern, Keely D. Parr, Robert J. Miller
Hearing Site: New York, NY
| | |
| 13-01185 | 04/16/2015 | Claimant(s): Meyers Associates, L.P.
Claimant Lawyers(s): Benjamin Suess
Respondent(s): Bruce Meyers, Marlen Vigdorov
Respondent Lawyers(s): Benjamin Suess, Todd A. Zuckerbrod
Arbitrator(s): Michael H. DuBoff, Berton Seltzberg, Keely D. Parr
Hearing Site: New York, NY
| | |
| 14-02855 | 04/01/2015 | Claimant(s): Michel Distel and Anne Distel, JTWROS
Claimant Lawyers(s): Caren S. Brutten
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | $0 |
| 13-02146 | 02/24/2015 | Claimant(s): Esther Weiss
Claimant Lawyers(s): Leah Shedlo
Respondent(s): Batholomew Sweeney, Bernard Fuchs, Ilona Nath, Lori Fass, Merrill Lynch Pierce Fenner & Smith
Respondent Lawyers(s): Edward M. Ross, Nikolas S. Komayti
Arbitrator(s): Laura Carraher, Marcia L. Adelson, Keely D. Parr
Hearing Site: New York, NY
| | $0 |
| 13-02904 | 09/11/2014 | Claimant(s): Morgan Stanley Smith Barney FA Notes Hol, Morgan Stanley Smith Barney LLC
Claimant Lawyers(s): Harry D. Frisch
Respondent(s): Jay Serniak
Respondent Lawyers(s): Jonathan D. Berg
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
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