| 17-02431 | 05/02/2019 | Claimant(s): Cantor Fitzgerald & Co.
Claimant Lawyers(s): David A. Paul
Respondent(s): Ilan Adika
Respondent Lawyers(s): Jane Albertson
Arbitrator(s): Vicki Z. Holleman, Robert L. Nisely, Ronald Harris Kisner
Hearing Site: New York, NY
| | |
| 16-01342 | 07/06/2018 | Claimant(s): Jeffry Brown
Claimant Lawyers(s): Joshua D. Rievman
Respondent(s): NB Alternatives Advisers LLC, Neuberger Berman LLC
Respondent Lawyers(s): Robert N. Holtzman
Arbitrator(s): Ted M. Rosen, Robert L. Nisely, James M. Rhodes
Hearing Site: New York, NY
| | |
| 15-03184 | 08/18/2016 | Claimant(s): Kevin Farrell
Claimant Lawyers(s): Kevin F. Farrell
Respondent(s): Brian Greenstein, Ardour Capital Investments
Respondent Lawyers(s): Brian Jay Greenstein, Kerry J. Dukes
Arbitrator(s): Robert L. Nisely
Hearing Site: New York, NY
| | |
| 13-03133 | 10/19/2015 | Claimant(s): Nico Phillips
Claimant Lawyers(s): Nico Phillips
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Michael N. Ungar
Arbitrator(s): William G. Binckes, Robert L. Nisely, Robert E. Anderson
Hearing Site: New York, NY
|  | $0 |
| 13-02441 | 06/25/2014 | Claimant(s): Ladenburg Thalmann & Co..
Claimant Lawyers(s): David Hirschberg
Respondent(s): Kyle Edsall, KWE Capital Management
Respondent Lawyers(s): Kyle W. Edsall, President or Compliance Officer
Arbitrator(s): Michael J. McAllister, Robert L. Nisely, Edward W. Morris
Hearing Site: New York, NY
| | $0 |
| 12-01476 | 05/08/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jeff Zimmerman
Respondent(s): James Kenny
Respondent Lawyers(s): James M. Kenny
Arbitrator(s): Robert L. Nisely, Leah R. Marks, Arthur M. Schoenberger
Hearing Site: New York, NY
| | |
| 08-04330 | 03/11/2010 | Claimant(s): Henrietta Silverman
Claimant Lawyers(s): Jeffrey W. Kleiner
Respondent(s): Barry Richter, Stifel, Nicolaus & Co.., Leonard Weintraub, Sheila Richter
Respondent Lawyers(s): Joseph F. Generelli, Leonard Weintraub
Arbitrator(s): Robert L. Nisely, Charles S. Guggenheimer, Charles L. Henderson
Hearing Site: New York, NY
| | Expungement |
| 07-00680 | 12/10/2009 | Claimant(s): Kevin LeBlanc, Robert Berg
Claimant Lawyers(s): Jim L. Batson
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Leonard Weintraub
Arbitrator(s): Robert L. Nisely, Christine Moore, Keith Eric Bettencourt
Hearing Site: New York, NY
| | |
| 07-00023 | 12/20/2007 | Claimant(s): John Coates
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): Michael Palmieri, Salomon Grey Financial Corporation
Respondent Lawyers(s): Kyle Rowe, Michael C. Palmieri
Arbitrator(s): Robert L. Nisely
Hearing Site: New York, NY
| | $0 |
