| 10-02809 | 05/23/2014 | Claimant(s): Douglas Sharon
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): J.P. Morgan Clearing Corp., J.P. Morgan Securities, Bear Stearns Asset Management Inc.
Respondent Lawyers(s): Gabrielle Gould
Arbitrator(s): Lowell D. Johnston, Douglas S. Abel, Daniel F. Morrissey
Hearing Site: New York, NY
| | |
| 12-02314 | 03/04/2014 | Claimant(s): Lewis Goldman
Claimant Lawyers(s): Leon Baer Borstein
Respondent(s): ACGM.
Respondent Lawyers(s): M. Christine Carty
Arbitrator(s): Gilbert F. Bach, Jack Friedman, Lowell D. Johnston
Hearing Site: New York, NY
| | |
| 12-02684 | 01/22/2014 | Claimant(s): Ian Greig
Claimant Lawyers(s): David A. Gehn
Respondent(s): George Kardaras
Respondent Lawyers(s): George A. Kardaras
Arbitrator(s): Robert S. Getman, Marvin G. Pickholz, Lowell D. Johnston
Hearing Site: New York, NY
|  | $535,750 |
| 11-02612 | 10/04/2013 | Claimant(s): Vikram Kaul
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Lowell D. Johnston, Cirino M. Bruno, Richard Bryce Nesson
Hearing Site: New York, NY
| | |
| 11-00683 | 09/27/2013 | Claimant(s): Harry Friedman
Claimant Lawyers(s): Daniel Hirschel
Respondent(s): Ridge Clearing & Outsourcing Solutions
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): Richard D. Chusid, Sandra J. Mullings, Lowell D. Johnston
Hearing Site: New York, NY
| | |
| 11-01608 | 06/19/2013 | Claimant(s): Miguel Moreno
Claimant Lawyers(s): Heriberto A. Cabrera
Respondent(s): Citigroup Global Markets., Winston Chung
Respondent Lawyers(s): Travis R. Chapin
Arbitrator(s): Vicki Z. Holleman, Biagio A. Civale, Lowell D. Johnston
Hearing Site: New York, NY
| | $0 |
| 10-03283 | 03/27/2013 | Claimant(s): Karen McFadden
Claimant Lawyers(s): Neil M Frank
Respondent(s): Brian Bornstein, Clarkeson Research Group Inc.
Respondent Lawyers(s): Raymond Nardo
Arbitrator(s): Richard W. Cutler, David I. Goldblatt, Lowell D. Johnston
Hearing Site: New York, NY
| | |
| 10-05687 | 10/19/2012 | Claimant(s): Elizabeth McCarthy, Robert McCarthy, The Emily J. McCarthy Education Trust UA, The John P. McCarthy Education Trust
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Sanford C. Bernstein & Co., Alliance Capital Management L.P., AllianceBernstein L.P.
Respondent Lawyers(s): Sean Murphy
Arbitrator(s): Lowell D. Johnston, Carol Maria Luttati
Hearing Site: New York, NY
| | $30,000 |
| 10-00637 | 03/09/2012 | Claimant(s): Bristol Investment Fund, Ltd.
Claimant Lawyers(s): Thomas J. Fleming
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Christine Costigan, Lowell D. Johnston, John Franklin Udochi
Hearing Site: New York, NY
| | $0 |
| 09-06358 | 11/16/2011 | Claimant(s): Robert and Virginia Russiello, JTWROS, Virginia Russiello Rollover IRA
Claimant Lawyers(s): Mike Amad
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Brian Ken Kawakami, Kenneth Diamond, Lowell D. Johnston
Hearing Site: New York, NY
| | Expungement |
