| 18-01288 | 02/08/2021 | Claimant(s): David Romhilt
Claimant Lawyers(s): Sandra Lahens
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Ross E. Firsenbaum
Arbitrator(s): Douglas F. Stone, Ivan W. Harper, Michael S. Lazan
Hearing Site: New York, NY
| | |
| 16-01299 | 08/21/2017 | Claimant(s): Harvey Lambert, Lisa Lambert
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Kenneth Diamond, Sandra Gale Behrle, Ivan W. Harper
Hearing Site: New York, NY
|  | $0 |
| 16-00758 | 05/19/2017 | Claimant(s): Deron Goodwin
Claimant Lawyers(s): Jonathan Sack
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Ivan W. Harper, Nancy Kramer, Robert Francis Geary
Hearing Site: New York, NY
| | |
| 12-03949 | 06/09/2015 | Claimant(s): Turnberry Capital Management LP, Turnberry Masters, LTD
Claimant Lawyers(s): Kevin J. O'Brien
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Stephen H. Kupperman
Arbitrator(s): Robert S. Getman, Ivan W. Harper, Kumar Atmakuri Ram
Hearing Site: New York, NY
| | $10,000 |
| 11-01807 | 06/06/2013 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Peter Mullen
Respondent Lawyers(s): Daniel J. Dwyer
Arbitrator(s): Madelon M. Rosenfeld, Martin Hunger, Ivan W. Harper
Hearing Site: New York, NY
| | |
| 11-01034 | 02/08/2012 | Claimant(s): John Thomas Financial
Claimant Lawyers(s): Robert M. Bursky
Respondent(s): Salvatore Gioe
Respondent Lawyers(s): Salvatore Gioe
Arbitrator(s): Ivan W. Harper, Leona Beane, Joan Seewald Brodsky
Hearing Site: New York, NY
| | |
| 10-03837 | 09/14/2011 | Claimant(s): The Richard Steinberg Living Trust
Claimant Lawyers(s): David E. Bamberger
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Kinchen C. Bizzell, Alun Hywel Jones, Ivan W. Harper
Hearing Site: New York, NY
| | $0 |
| 09-01121 | 06/09/2011 | Claimant(s): Yasir Sabri
Claimant Lawyers(s): John D. Singer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Christal J. Henner, Carolyn A. Mann, Ivan W. Harper
Hearing Site: New York, NY
| | |
| 06-02602 | 05/22/2008 | Claimant(s): James Parascandola
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Barclays Capital.
Respondent Lawyers(s): Nicolas Bourtin
Arbitrator(s): John J. Lynch, Ivan W. Harper, David Kramer
Hearing Site: New York, NY
| | |
| 05-01106 | 11/30/2007 | Claimant(s): Anthony Titone
Claimant Lawyers(s): Kimberly N. Testa
Respondent(s): RBC Dain Rauscher., Stanley Hochhauser
Respondent Lawyers(s): Sandra Grannum
Arbitrator(s): Ivan W. Harper, Frank J. Spencer, Steven A. Infante
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
