| 21-01534 | 05/18/2023 | Claimant(s): Raymond Potter
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Leslie Ruth Nydick, Thomas M. Madden, Rick Rutman
Hearing Site: New York, NY
| | |
| 20-02352 | 01/18/2022 | Claimant(s): John Akhras
Claimant Lawyers(s): Steven M. Warshawsky
Respondent(s): SG Americas Securities
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Keely D. Parr, Shari Anique Linton, David Mark Goldenberg
Hearing Site: New York, NY
| | |
| 19-02184 | 11/22/2021 | Claimant(s): Christopher Landon
Claimant Lawyers(s): Kevin Thomas Hoffman
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Peter E. Gillespie, Harvey E. Benjamin, Judith C. Aarons
Hearing Site: New York, NY
| | |
| 18-04192 | 08/12/2019 | Claimant(s): Kenneth Ebbe
Claimant Lawyers(s): John A. Mangones
Respondent(s): Donald Gunn, Richard Frueh, Leerink Partners LLC
Respondent Lawyers(s): Burton W. Wiand, David H. Jarvis, Lloyd S. Clareman
Arbitrator(s): Howard N. Gorney, Gene M. Bauer, Peter M Cosel
Hearing Site: Boston, MA
|  | Dismissed by Rule 12206/12504 |
| 15-02701 | 12/20/2017 | Claimant(s): Robert Cummings
Claimant Lawyers(s): Jonathan Sack
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Richard W. Vallario, Richard Bryce Nesson, Albert Rizzo
Hearing Site: New York, NY
| | |
| 16-01976 | 07/28/2017 | Claimant(s): William Taylor
Claimant Lawyers(s): Daniel F. Markham
Respondent(s): SG Americas Securities
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Joseph J. Arata, Sam Antar, Susan Romano
Hearing Site: New York, NY
| | |
| 15-03474 | 10/05/2016 | Claimant(s): Matthew Macgregor
Claimant Lawyers(s): Christopher B Jones
Respondent(s): Andrew Totman, SG Americas Securities
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Gregory J. Getz
Hearing Site: New York, NY
| | |
| 15-00751 | 06/30/2016 | Claimant(s): William Burke
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Gregory J. Getz, John Michael Richardson, David Spencer
Hearing Site: New York, NY
| | |
| 15-00535 | 04/19/2016 | Claimant(s): Mary Fisher
Claimant Lawyers(s): James R. Hubbard
Respondent(s): SG Americas Securities
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Julian F. Santos, David Jeremy Mattana, Cirino M. Bruno
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
| | |
