| 14-01498 | 04/15/2015 | Claimant(s): E.J. Sterling
Claimant Lawyers(s): Timothy Feil
Respondent(s): Brian Miller
Respondent Lawyers(s): Brian Lee Miller
Arbitrator(s): Susan C. Lushing
Hearing Site: New York, NY
| | |
| 12-03020 | 04/13/2015 | Claimant(s): Mark Ginsberg
Claimant Lawyers(s): Loretta M. Gastwirth
Respondent(s): Maziar Shams, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John P. Bevilacqua
Arbitrator(s): Susan C. Lushing, Nancy Kramer, Harrison Johnson
Hearing Site: New York, NY
|  | $0 |
| 13-02423 | 05/09/2014 | Claimant(s): Joseph Gunnar & Co. LLC
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Michael Kaplan
Respondent Lawyers(s): Michael Kaplan
Arbitrator(s): Susan C. Lushing, Franklin P. Chapman, Thomas Naylor
Hearing Site: New York, NY
| | |
| 11-03682 | 05/23/2013 | Claimant(s): Zachary Drean
Claimant Lawyers(s): Jason A. Achinaco
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Michael H. Gibson
Arbitrator(s): Susan C. Lushing, Ann C. Northern, Richard Bryce Nesson
Hearing Site: New York, NY
| | |
| 11-02832 | 04/25/2013 | Claimant(s): James Metzger
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Daren A. Luma
Arbitrator(s): Susan C. Lushing, Evonne W.J. Tolbert, Andrew M. Schmertz
Hearing Site: New York, NY
| | $0 |
| 09-06473 | 10/03/2012 | Claimant(s): The Segue Foundation., James Sherry IRA Account, Shirley Sherry Revocable Trust DTD 09/22
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Thomas Briody
Arbitrator(s): Susan C. Lushing, Christian Leslie Billet, Susan Y. Chin
Hearing Site: New York, NY
| | Expungement |
| 11-02686 | 05/17/2012 | Claimant(s): John Dadd
Claimant Lawyers(s): John Dadd
Respondent(s): Fiserv Investor Services.
Respondent Lawyers(s): Michael Gordon
Arbitrator(s): Susan C. Lushing, Richard D. Gueren, Julian F. Santos
Hearing Site: New York, NY
| | |
| 10-05193 | 10/12/2011 | Claimant(s): Ronald Altman
Claimant Lawyers(s): Curtis E. Pew
Respondent(s): David Benedict, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): Susan C. Lushing
Hearing Site: New York, NY
| | $6,494 |
| 09-06258 | 06/22/2011 | Claimant(s): Michael Bird
Claimant Lawyers(s): Charles A. Stewart
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lauren Malanga Casey
Arbitrator(s): Susan C. Lushing, Michael J. Contrastano, Lester Scott Garfinkel
Hearing Site: New York, NY
| | |
| 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 |
