18-02720 | 12/09/2021 | Claimant(s): John Mitchell Marmaduke Revocable Living Claimant Lawyers(s): Mark S. Simms Respondent(s): Credit Suisse Securities (USA) LLC Respondent Lawyers(s): Allan N. Taffet Arbitrator(s): James W. Geiger, Joseph Benalt, Gregory Richard Barthelette Hearing Site: Boca Raton, FL
| | $150,000 |
16-03686 | 07/31/2018 | Claimant(s): Claire Scalzo, Louis Scalzo, Louis Scalzo Family Marital DED Trust, Scalzo Family Bypass Trust, Scalzo Survivors Trust Claimant Lawyers(s): Jeffrey Pederson, Richard A. Nervig Respondent(s): Credit Suisse Securities (USA) LLC Respondent Lawyers(s): Allan N. Taffet Arbitrator(s): David H. S. Commins, George King, Val D. Hornstein Hearing Site: San Francisco, CA
| | Expungement |
12-04093 | 07/08/2015 | Claimant(s): Henry Zachs Claimant Lawyers(s): John M. Magliery Respondent(s): Albert Dishner, Credit Suisse Securities (USA) LLC Respondent Lawyers(s): Allan N. Taffet Arbitrator(s): Leah G. Rabinowitz, Sandra Gale Behrle, Gayle S. Sanders Hearing Site: New York, NY
| | $0 |
10-04093 | 01/13/2015 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Walter A. Saurack Respondent(s): Deutsche Bank Securities. Respondent Lawyers(s): Allan N. Taffet Arbitrator(s): Joseph A. Forgione, Randolph Guggenheimer, Arthur Best Hearing Site: New York, NY
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13-00613 | 11/08/2013 | Claimant(s): Charles Byrd, Dan DeSimoni, Dennis Owens, Doug Reinhart, Greg Stringer, Hammond Hunt, Henry Respess, Irvin Plowden, J. Turner Hunt, Massimo DeSimoni, Maxine Kelley, Michael DeSimoni, Paul Reinhart, Willard Hill, William Hunt, William "Will" Bunker Claimant Lawyers(s): Scott F. Hessell Respondent(s): Deutsche Bank Securities., David Parse, Raymond Brubaker, DB Alex. Brown LLC, Deutsche Bank AG Respondent Lawyers(s): Allan N. Taffet, Keith E. Blackman, Kevin E. O'Reilly, Paul H. Schoeman, The Company President Arbitrator(s): Joseph D. Vu, Marilee Roberg, Jacqueline Stanley Lustig Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
12-03171 | 06/03/2013 | Claimant(s): Mark Klopfenstein, Molly Klopfenstein, TranStar Capital Ventures LLC Claimant Lawyers(s): Robert K. Crowe Respondent(s): Deutsche Bank Securities. Respondent Lawyers(s): Allan N. Taffet Arbitrator(s): Harry G. Mason, Robert A. Dean, Osei J Adoma Hearing Site: Atlanta, GA
| | Dismissed by Rule 12206/12504 |
11-02623 | 02/12/2013 | Claimant(s): Michael Myers, Susan Myers, Michael F. Myers MA Trust dtd 10/23/08, Michael F. Myers MA Trust dtd 12/3/08, Susan K. Myers Living Trust dtd 1/8/01, Susan Myers MA Trust dtd 7/11/08 Claimant Lawyers(s): Charles N. Freiberg Respondent(s): Deutsche Bank Securities., Oppenheimer & Co.., Karl Hahn Respondent Lawyers(s): Allan N. Taffet, Karl E. Hahn, Philip A. McLeod Arbitrator(s): Linda M. Deola, Jonathan H. Krotinger, Susan J. Alexander Hearing Site: San Francisco, CA
| | $934,193 |
11-04536 | 07/11/2012 | Claimant(s): Michelle Massie Claimant Lawyers(s): Michelle Nicole Massie Respondent(s): BNY Mellon Securities LLC Respondent Lawyers(s): Allan N. Taffet Arbitrator(s): Maurice R. Dunie Hearing Site: Washington, DC
| | $319 |
10-03544 | 11/02/2011 | Claimant(s): Barclays Capital Inc. Claimant Lawyers(s): William B. Fleming Respondent(s): Credit Suisse Securities (USA) LLC Respondent Lawyers(s): Allan N. Taffet Arbitrator(s): Larry A. Kimmel, Maive R. Dale, Michael Ross Hearing Site: New York, NY
| | |
09-02545 | 08/12/2011 | Claimant(s): Michael Ghanadian Claimant Lawyers(s): Russell C. Weigel Respondent(s): Credit Suisse Securities (USA) LLC, Swiss American Securities Inc. Respondent Lawyers(s): Allan N. Taffet, Joshua Klein Arbitrator(s): David S. Billet, Orestes J. Mihaly, Carol Di Natale Hearing Site: New York, NY
| | $0 |