| 17-01510 | 06/06/2018 | Claimant(s): Wendy Marcus
Claimant Lawyers(s): Paul A. Lieberman
Respondent(s): Richard Feldman, Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Paul J. Camilleri, Richard W. Cutler, James M. Rhodes
Hearing Site: New York, NY
|  | $0 |
| 16-00514 | 02/15/2018 | Claimant(s): Jason Wright, Lenoir Wright
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Frank Fusco, John Smith, Jonathan Miller, Salvatore Caruso, Legend Securities.
Respondent Lawyers(s): Frank Phillip Fusco, John Victor Smith, Jonathan J. Miller, Salvatore Charles Caruso, Salvatore Caruso
Arbitrator(s): Richard W. Cutler, Ellyn S. Roth, George Bartos
Hearing Site: New York, NY
| | $181,970 |
| 17-01566 | 02/09/2018 | Claimant(s): Sean Murphy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Nichols, Safina, Lerner & Co. Inc., Eastbrook Capital Group LLC, Maxim Group LLC
Respondent Lawyers(s): Chee Eng, Edward Samson, Ian H. Hummel
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | |
| 16-02107 | 05/05/2017 | Claimant(s): Velma Lockley
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 16-01643 | 03/08/2017 | Claimant(s): Alan Blumenthal
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Ahmad Wares, John Coolong, Thomas Suarez, Laidlaw & Company (UK) LTD.
Respondent Lawyers(s): Ahmad Wares, Ross David Carmel, Thomas Suarez
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | $0 |
| 15-03032 | 09/23/2016 | Claimant(s): Joseph DeBlasi
Claimant Lawyers(s): Joseph DeBlasi
Respondent(s): Edward Stockton, Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | $50 |
| 14-03694 | 06/06/2016 | Claimant(s): Candice Willoughby
Claimant Lawyers(s): Alan L. Sklover
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd Chinn
Arbitrator(s): Michael E. Olney, Richard W. Cutler, Amy Kaplan Eckman
Hearing Site: New York, NY
| | |
| 15-00286 | 04/12/2016 | Claimant(s): Alan Silverstein, Karen Silverstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Cutler, James S. Hazard, Ronald F. Rosner
Hearing Site: New York, NY
| | $0 |
| 12-02925 | 11/13/2015 | Claimant(s): Lettita Bollon, Richard Bollon, NFS/FMTC Rollover IRA-FBO Richard J. Bol, Richard J. Bollon DDS PC, Richard J. Bollon TTEE, Richard J. Bollon PSP
Claimant Lawyers(s): James G. Marsh
Respondent(s): Stanley Brooks, Brookstreet Securities Corporation, Troy Gagliardi
Respondent Lawyers(s): Sam Silverstein, Troy L. Gagliardi
Arbitrator(s): Richard W. Cutler, Anita Sippy, Gladys Mond
Hearing Site: New York, NY
| | $0 |
| 14-01312 | 08/11/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s): Nick Hsieh
Respondent Lawyers(s): Thomas J. McCabe
Arbitrator(s): Richard W. Cutler, Michele S. Riley, Mark J. Happe
Hearing Site: New York, NY
| | |
