| 12-03144 | 08/13/2013 | Claimant(s): Zhi Poon
Claimant Lawyers(s): Zhi C. Poon
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Franklin P. Chapman, Robert B. Schmidt, Steven David Leader
Hearing Site: New York, NY
| | |
| 11-04657 | 06/26/2013 | Claimant(s): Mildred Pitchon
Claimant Lawyers(s): G. Martin Meyers
Respondent(s): David Donovan, Citigroup Global Markets., Morgan Stanley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Adam Kauff, Angela T. Turiano
Arbitrator(s): Steven David Leader, Keith Roberts, Robert Bartels
Hearing Site: New York, NY
|  | Expungement |
| 11-01943 | 11/20/2012 | Claimant(s): William Otto, William L. Otto Irrevocable Lifetime Tru
Claimant Lawyers(s): Theodore M. Davis
Respondent(s): Joseph Gill, Lore Gordon, MML Investors Services
Respondent Lawyers(s): Barry R. Temkin, Mathew Tracy, William P. Thornton
Arbitrator(s): Steven David Leader, Leslie Ruth Nydick, Edwin H. Bennett
Hearing Site: New York, NY
| | Expungement |
| 09-06800 | 08/12/2010 | Claimant(s): Frank Altomaro
Claimant Lawyers(s): Frank Altomaro
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Amy Gare
Arbitrator(s): Daniel Robbins, Steven David Leader, Ralph A. DeSena
Hearing Site: New York, NY
| | |
| 08-02985 | 03/19/2010 | Claimant(s): David Goldberg & Rosalind Goldberg
Claimant Lawyers(s): Adam J. Gana
Respondent(s): James Kelsoe, Morgan Keegan & Company.
Respondent Lawyers(s): Cinnamon V. Davis
Arbitrator(s): Steven David Leader
Hearing Site: New York, NY
| | $0 |
| 07-02493 | 10/28/2009 | Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): Bruce E. Coolidge
Respondent(s): Mark Ramos, Martin Allamian, Michael Elizondo, Last Atlantis Capital Management, Lek Securities Corporation, Petra Trading Group LLC
Respondent Lawyers(s): Anthony C. Valiulis, Tommy P. Beaudreau
Arbitrator(s): Robert L. Spangler, David I. Goldblatt, Steven David Leader
Hearing Site: New York, NY
| | |
| 08-02650 | 05/08/2009 | Claimant(s): Perrin, Holden & Davenport Capital Corp.
Claimant Lawyers(s): Faun M. Phillipson
Respondent(s): Denis Kraemer
Respondent Lawyers(s): Denis William Kraemer
Arbitrator(s): Steven David Leader
Hearing Site: New York, NY
| | |
| 07-01486 | 02/02/2009 | Claimant(s): Sloan Securities Corp.
Claimant Lawyers(s): Paul A. Liberman
Respondent(s): Harry Friedman, Prestige Financial Center.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Robina Fedora Asti, Steven David Leader, Salvatore J. Bate
Hearing Site: New York, NY
| | |
| 07-02134 | 01/23/2008 | Claimant(s): Continental Broker-Dealer Corp. by Tru
Claimant Lawyers(s): Nathan Schwed
Respondent(s): Nicholas Cosmo
Respondent Lawyers(s): Nicholas Joseph Cosmo
Arbitrator(s): Steven David Leader
Hearing Site: New York, NY
| | |
| 06-02824 | 11/12/2007 | Claimant(s): Irving Becker
Claimant Lawyers(s): Jerome M. Selvers
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Karen L. Palermo
Arbitrator(s): John P. Bannon, Martin A. Edelstein, Steven David Leader
Hearing Site: Newark, NJ
| | |
