| 17-03013 | 11/09/2021 | Claimant(s): Laurie Diamond
Claimant Lawyers(s): Laurie E. Diamond
Respondent(s): Morgan Stanley, Wells Fargo Advisors, Jeffrey Van Demark
Respondent Lawyers(s): Andrew R. Park, Irisa Chen, Patricia E. Cowart
Arbitrator(s): Pamela H Roderick, Camille S. Cooper, Michael S. Perinelli
Hearing Site: New York, NY
|  | Expungement |
| 17-02796 | 04/03/2019 | Claimant(s): Mark Connelly
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): Clsa Americas
Respondent Lawyers(s): Barbara M. Roth
Arbitrator(s): Philip M. Mandel, Pamela H. Roderick, Martin L. Feinberg
Hearing Site: New York, NY
| | |
| 17-02952 | 01/09/2019 | Claimant(s): Ron Ben-Zakai, Refua Shlema
Claimant Lawyers(s): Samuel J. Lieberman
Respondent(s): Philip Rabinovich, Dinosaur Financial Group
Respondent Lawyers(s): M. William Munno
Arbitrator(s): Richard W. Cutler, Pamela H. Roderick, James G Paulsen
Hearing Site: New York, NY
| | Expungement |
| 17-01277 | 11/05/2018 | Claimant(s): Nicholas Finn
Claimant Lawyers(s): Robert Miller
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Victoria J. Kehoe
Arbitrator(s): Pamela H. Roderick, Joan M. Traub, Joseph Leo Calabrese
Hearing Site: New York, NY
| | |
| 18-01067 | 10/01/2018 | Claimant(s): Rushdi Zalatimo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Pamela H. Roderick
Hearing Site: New York, NY
| | |
| 17-00880 | 07/12/2018 | Claimant(s): Ferrospes AS
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): George Calhoun, Laidlaw & Company (Uk) Ltd.
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): James J. Fishman, Pamela H. Roderick, Clarence Smith
Hearing Site: New York, NY
| | $25,000 |
| 17-00145 | 02/08/2018 | Claimant(s): Carol Silverman
Claimant Lawyers(s): Joseph E. Gasperetti
Respondent(s): Nina Schurz, Raymond, James & Associates.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Pamela H. Roderick, Sandra J. Mullings, Sheryl E. Elias
Hearing Site: New York, NY
| | |
| 17-01129 | 02/05/2018 | Claimant(s): Leonard Valletta
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Pamela H. Roderick
Hearing Site: Albany, NY
| | |
| 16-01553 | 07/03/2017 | Claimant(s): Matthew Gittins
Claimant Lawyers(s): Jack A. Gordon
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Pamela H. Roderick, Sandra J. Mullings, Amy Y. Moy
Hearing Site: New York, NY
| | |
| 16-01275 | 04/07/2017 | Claimant(s): Daniel Rubenstein
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Pamela H. Roderick, Ira A. Auerbach, Nicholas M. Herubin
Hearing Site: New York, NY
| | Expungement |
