| 12-00961 | 12/20/2013 | Claimant(s): Clocktower Tax Credits LLC, Northeast Securities.
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Vert Investment Group, Vert Securities, Llc
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Peter P. Skomorowsky
Hearing Site: New York, NY
| | |
| 11-03603 | 07/15/2013 | Claimant(s): E1 Asset Management.
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): John Thomas Financial
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Charles Kleinbaum, Robert I. Adler, Jettie K. Thomas
Hearing Site: New York, NY
| | |
| 12-03669 | 06/07/2013 | Claimant(s): Ara Hisarliyan
Claimant Lawyers(s): Marc Fitapelli
Respondent(s): E1 Asset Management.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Michael H. DuBoff
Hearing Site: New York, NY
|  | $300 |
| 11-03167 | 12/14/2012 | Claimant(s): Jay Debow, Suzanne Debow, MLPF&S Cust FBO Jay Debow IRA, MLPF&S Cust FBO Suzanne Hayat Debow IRA, MLPF&S Cust FBO J. Debow Consulting P.S
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Mark Imbertson, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Colleen M. Fitzgerald, Donald F. Winningham
Arbitrator(s): Frances D. Sheehy, Mark T. Burnam, Stephen Kahane
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-01108 | 09/25/2012 | Claimant(s): Michael Bruni
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Alex Hotzoglou, Morgan Stanley
Respondent Lawyers(s): Lawrence G. Barbot
Arbitrator(s): Ann Pinciss Berman
Hearing Site: New York, NY
| | $23,089 |
| 11-01208 | 05/09/2012 | Claimant(s): Milton Ward
Claimant Lawyers(s): John J. Miller
Respondent(s): Brandon Leon, Michael Mcnulty, Michael Murphy, Olympia Asset Management,Ltd.
Respondent Lawyers(s): Charles M. O'Rourke, Timothy Feil
Arbitrator(s): Phillip Lee Scheldt, Mark L. Williams, Anita M. Jean
Hearing Site: Dallas, TX
| | $0 |
| 10-05036 | 10/21/2011 | Claimant(s): Douglas Leach
Claimant Lawyers(s): Michael J. Calvey
Respondent(s): Gary Purcell, Marco Alfonsi, Richard Lewin, Robert Lewin, Basic Investors Inc., Penson Financial Services.
Respondent Lawyers(s): Charles M. O'Rourke, Jonathan D. Neerman, Mark S. Gregory, Thomas Laundrie
Arbitrator(s): G. Maynard Green, Robert J. Gregory, Russell H Hairston
Hearing Site: Dallas, TX
| | $0 |
| 09-00795 | 04/04/2011 | Claimant(s): Joseph Neira
Claimant Lawyers(s): Gary N. Moss
Respondent(s): Michael Hartzman, Randi Mason, Bristol Financial Services., J.P. Morgan Clearing Corp., Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Steven B. Feigenbaum, Thomas Vays
Arbitrator(s): Judith E. Gross, John Franklin Udochi, Martin A. Edelstein
Hearing Site: New York, NY
| | Expungement |
| 10-01471 | 01/04/2011 | Claimant(s): Jane Klotz
Claimant Lawyers(s): Nathan P. Pereira
Respondent(s): Michael Dawson, Mikiel Debary, Marquette De Bary Co.., Monarch Financial Corporation
Respondent Lawyers(s): Charles M. O'Rourke, Marquette de Bary, Michael F. Dawson, Mikiel de Bary
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | $0 |
| 08-00736 | 09/03/2009 | Claimant(s): Rosemarie Riley
Claimant Lawyers(s): Lauren Topelsohn
Respondent(s): Mark Moskowitz, Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Mark Moskowitz
Arbitrator(s): Paul S. Biederman
Hearing Site: New York, NY
| | $213,964 |
