| 11-04308 | 03/14/2013 | Claimant(s): Stephen Trigg
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
|  | Expungement |
| 09-06282 | 07/30/2012 | Claimant(s): Arlene Scanlan
Claimant Lawyers(s): Steven L. Manchel
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Evelyn Bukchin
Arbitrator(s): Joseph J. Arata, Ernesto V. Luzzatto, Scott W. Mulford
Hearing Site: New York, NY
| | $150,000 |
| 10-03161 | 04/19/2012 | Claimant(s): Whitney Quillen
Claimant Lawyers(s): Whitney Staples Quillen
Respondent(s): Edward Neugeboren, Ledgemont Capital Markets LLC
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Joseph J. Arata, Anthony George Gero, Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 08-00443 | 11/17/2011 | Claimant(s): Gerald Rupp, John Roberts
Claimant Lawyers(s): Robert J. Hausen
Respondent(s): Oppenheimer & Co.., Nancy Abraham
Respondent Lawyers(s): Peter Byer, Stephen Ehrenberg
Arbitrator(s): Joseph J. Arata, Robina Fedora Asti, Edward G. Toptani
Hearing Site: New York, NY
| | $0 |
| 02-07501 | 10/19/2011 | Claimant(s): Peter Green
Claimant Lawyers(s): Peter Green
Respondent(s): Cadaret Grant & Co..
Respondent Lawyers(s): Chaim J. Jaffe
Arbitrator(s): Joseph J. Arata, John B. Myers, Gary W. Sherbell
Hearing Site: New York, NY
| | |
| 10-04241 | 09/23/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Katherine M. Planer
Respondent(s): Daniel Casella
Respondent Lawyers(s): Daniel R Casella
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
| 09-03587 | 10/08/2010 | Claimant(s): Thomas Whalen
Claimant Lawyers(s): Laurence S. Moy
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): Joseph J. Arata, Melvin S. Slade, Joseph Louis Sherman
Hearing Site: New York, NY
| | |
| 09-05858 | 09/30/2010 | Claimant(s): Susan Hamovitch
Claimant Lawyers(s): Susan Hamovitch
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Peter Inserra
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | $0 |
| 09-06625 | 09/21/2010 | Claimant(s): John Conroy, Kevin Brennan
Claimant Lawyers(s): John Conroy, Kevin Brennan
Respondent(s): James Maurer
Respondent Lawyers(s): James W. Maurer
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
| 08-00085 | 02/05/2009 | Claimant(s): Stephen Grayer
Claimant Lawyers(s): Stephen B. Grayer
Respondent(s): Robert Malin, Steven Malin, A.B. Watley Direct., A.B. Watley., Integrated Clearing Solutions.
Respondent Lawyers(s): Janice M. Johnson
Arbitrator(s): Joseph J. Arata, Leona Beane
Hearing Site: New York, NY
| | |
