| 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 |
| 09-01343 | 03/03/2011 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Christopher G. Massey
Respondent(s): Leslie Buch
Respondent Lawyers(s): Leslie Neal Buch
Arbitrator(s): Richard W. Vallario, Susan C. Lushing, Andrew H. Freund
Hearing Site: New York, NY
| | |
| 09-04785 | 07/09/2010 | Claimant(s): Daniel Klein
Claimant Lawyers(s): Christine A. Palmieri
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Susan C. Lushing, Joseph D. Cosgrove, Gregory J. Getz
Hearing Site: New York, NY
| | |
