| 10-04599 | 05/02/2012 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Jeremy St. Jean
Respondent Lawyers(s): Peter F. Carr
Arbitrator(s): Nelson P. Lovins
Hearing Site: Boston, MA
| | |
| 10-01868 | 10/11/2011 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): William Cerf
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | |
| 10-04569 | 10/11/2011 | Claimant(s): Lehman Brothers Holdings.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Jennifer Mitchell
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): David N. Brainin
Hearing Site: New York, NY
| | |
| 10-01872 | 09/07/2011 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Felipe Britto
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Gary M. Landau
Hearing Site: Miami, FL
| | |
| 10-01876 | 08/08/2011 | Claimant(s): Lehman Brothers Holdings.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Bryon Botsford
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Susan B. Gans-Smith
Hearing Site: San Francisco, CA
| | |
| 10-01866 | 06/30/2011 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Pauline Sheedy
Respondent Lawyers(s): Peter F. Carr
Arbitrator(s): Shari B. Broder
Hearing Site: Boston, MA
| | |
| 09-00286 | 06/24/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Gregory Kenzik
Respondent Lawyers(s): Neil A. Sussman
Arbitrator(s): Carolyn A. Mann, Preston V. Pumphrey, Alun Hywel Jones
Hearing Site: New York, NY
| | |
| 09-04454 | 12/23/2010 | Claimant(s): Collins Capital LLC
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Jeffrey Samsen, J.P. Morgan Securities, Bear Stearns Asset Backed Securities Fun, Bear Stearns Asset Management Inc., Bear Stearns Securities Clearing Corp, Bear, Stearns & Co.., J.P. Morgan Chase & Co., J.P. Morgan Clearing Corp., The Bear Stearns Companies.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Alan S. Braunshweiger, Daniel Robbins, Michele S. Riley
Hearing Site: New York, NY
|  | Expungement |
| 09-03526 | 09/17/2010 | Claimant(s): Viola McNeill
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Aaron Francis, Fidelity Brokerage Services LLC, William Laws
Respondent Lawyers(s): Elizabeth A. Marino
Arbitrator(s): Donald J. Zoeller, John Cleaveland Palmer, Kenneth Paul Williams
Hearing Site: New York, NY
| | $92,124 |
| 09-02843 | 04/27/2010 | Claimant(s): Ettore Stratta, Patricia Stratta
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Andrew Wolff, Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | $67,114 |
