| 14-01245 | 06/03/2015 | Claimant(s): Christopher Mctammany, Noel Thompson
Claimant Lawyers(s): Terrence J. Gallagher
Respondent(s): Brenda Smith, Dean Barr, Joseph Meehan, Tom Ward, CV Brokerage, Foundation Capital Partners (U.S.) L.P., Foundation Capital Partners L.P., Foundation Capital Partners Greenwich LP, Foundation Capital Partners Inc., Foundation Capital Partners Intermediate
Respondent Lawyers(s): Kevin D. Galbraith, Sean R. O'Brien
Arbitrator(s): Martin H. Zern, Keely D. Parr, Robert J. Miller
Hearing Site: New York, NY
| | |
| 14-01020 | 04/10/2015 | Claimant(s): Susan Landolt
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): UBS Financial Services Inc., Ronald Ferrelli
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Martin H. Zern, Samuel Joseph Gottlieb, Kevin P. Feerick
Hearing Site: New York, NY
| | |
| 13-01035 | 03/17/2014 | Claimant(s): Deeb Salem
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Andrew J. Frackman
Arbitrator(s): Martin H. Zern, Keith Roberts, Steven Gary Leventhal
Hearing Site: New York, NY
| | |
| 13-00141 | 03/06/2014 | Claimant(s): Jeffrey Sparks
Claimant Lawyers(s): David Marek
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Linda Yarden, Martin H. Zern, Barbara Sullivan-Parry
Hearing Site: New York, NY
| | |
| 12-04118 | 01/08/2014 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Peter Gambee
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Martin H. Zern, Steven J. Brill, David Jeremy Mattana
Hearing Site: New York, NY
| | |
| 11-04540 | 06/05/2013 | Claimant(s): Harry Jaffe
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Edward Baer, Martin H. Zern, Cheryl H. Agris
Hearing Site: New York, NY
| | |
| 11-01413 | 01/11/2013 | Claimant(s): Tullett Prebon Americas Corp., Tullett Prebon Financial Services LLC
Claimant Lawyers(s): Robert M. Abrahams
Respondent(s): Anthony Arcabascio, Charles Comparetto, Gregory Golden, Michael Palladino, Pierce Ryan, Richard Clarkson, Robert Steiniger, Thomas Killeen, Timothy Horan, BGC Financial, L.P.
Respondent Lawyers(s): Eric Seiler, Nicholas J. Boyle
Arbitrator(s): Paul K. Barenholtz, Martin H. Zern, Anthony Dennis Perri
Hearing Site: New York, NY
| | |
| 11-01190 | 12/19/2011 | Claimant(s): Peter Triantafillou
Claimant Lawyers(s): Peter Triantafillou
Respondent(s): Bay Crest Partners
Respondent Lawyers(s): Jon Connolly
Arbitrator(s): Martin H. Zern, David Marcus, David J. Weisenfeld
Hearing Site: New York, NY
| | |
| 10-00927 | 12/02/2011 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): James E. Siegel
Respondent(s): Mourad Jridi
Respondent Lawyers(s): Reynaldo G. Geerken
Arbitrator(s): Robert Pincus, Douglas F. Stone, Martin H. Zern
Hearing Site: New York, NY
| | |
| 09-02318 | 09/30/2010 | Claimant(s): Joyce Yabkow
Claimant Lawyers(s): Michael B. Specht
Respondent(s): Citigroup Global Markets., William Burns
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Robert Manfredo, Evonne W.J. Tolbert, Martin H. Zern
Hearing Site: New York, NY
|  | Expungement |
