| 16-01806 | 07/10/2017 | Claimant(s): Timothy McLaughlin
Claimant Lawyers(s): Gene L. Small
Respondent(s): Diane Hawkins, Jonathan Zucker, Stephen Perrone, Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Franklin P. Chapman, Cynthia A. DiMarco, Ernesto V. Luzzatto
Hearing Site: New York, NY
|  | $1,791,840 |
| 14-02337 | 09/24/2015 | Claimant(s): Jay Stein, Jay J. Stein IRA Rollover, Jay J. Stein Retirement Fund dtd 9/1/85
Claimant Lawyers(s): Katrina M. Boice, Ryan K. Bakhtiari
Respondent(s): Northeast Securities., The Benchmark Company.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Robert B. Hansohn, Thomas R. Watkins, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $126,550 |
| 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
| | |
| 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 |
| 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 |
| 06-02604 | 02/02/2009 | Claimant(s): Thomas Turk, Thomas E. Turk Revoc. Trust, Thomas E. Turk Trust
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Roy Norman, Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): John P. Cione, Lester G. Stiel, Audrey H. Ruben
Hearing Site: San Diego, CA
| | $66,800 |
| 07-03470 | 12/02/2008 | Claimant(s): Daniel Hurley
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Mark Moskowitz, Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Mark J. Moskowitz
Arbitrator(s): Franklin G. Allen, James O. Johnson, Gino Dante Serpe
Hearing Site: San Diego, CA
| | $80,000 |
| 07-02242 | 06/23/2008 | Claimant(s): Edward Bagley
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Max Assenheimer, Northeast Securities.
Respondent Lawyers(s): Adam S. Tanenbaum
Arbitrator(s): Don Muyskens, William J. Schifino, Jason S. Thackeray
Hearing Site: Tampa, FL
| | $100,000 |
| 06-04110 | 03/19/2008 | Claimant(s): Anna Anderson, Antonio McNeil, Carlton Phillips, George Boddie, Joe Ricks, Joyce Houston, Linda Eley, Ruth Beamon, Ruth Boone, Vertellar Clark, Wilbert Battle
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): David P. McDuffee, Karen J. Montgomery, Karen E. Sapp
Hearing Site: Raleigh, NC
| | $329,242 |
