| 15-01198 | 11/03/2017 | Claimant(s): NSB Advisors LLC
Claimant Lawyers(s): Ramsey Hinkle
Respondent(s): C.L. King & Associates.
Respondent Lawyers(s): Richard A. Roth
Arbitrator(s): Joseph B. Russell, Carole L. Green
Hearing Site: New York, NY
|  | $1,750,000 |
| 12-02927 | 11/25/2016 | Claimant(s): C. L. King & Associates.
Claimant Lawyers(s): Richard A. Roth
Respondent(s): William Nicklin
Respondent Lawyers(s): Steven J. Shore
Arbitrator(s): Romaine L. Gardner, Joseph B. Russell, Carole L. Green
Hearing Site: New York, NY
| | $0 |
| 13-02724 | 09/09/2014 | Claimant(s): John Griff, Thomas Hughes
Claimant Lawyers(s): Kathleen Peratis, Shirley Lin
Respondent(s): Gleacher & Company Securities., Gleacher & Company.
Respondent Lawyers(s): Jacob Johnson
Arbitrator(s): Michael E. Olney, Joseph B. Russell, Robert S. Getman
Hearing Site: New York, NY
| | |
| 11-03358 | 02/12/2014 | Claimant(s): Mariam Nigohosian
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Philip M. Mandel, Joseph B. Russell, Sandra Gale Behrle
Hearing Site: New York, NY
| | $0 |
| 09-04716 | 07/16/2012 | Claimant(s): Alan Hunt, Kenneth Casey, Michael Cappa, Scott Siemers, Estate of Ronald Hal Davis
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): Guggenheim Capital Markets
Respondent Lawyers(s): Patrick C. Harrigan
Arbitrator(s): Dan Brecher, Joseph B. Russell, Alice Holly Oshins
Hearing Site: New York, NY
| | |
| 11-02655 | 05/23/2012 | Claimant(s): Edwin Forte
Claimant Lawyers(s): Adolph D. Seltzer
Respondent(s): David Isolano, Max International Broker/Dealer
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Joseph B. Russell, Robert S. Getman, David A. Schwarz
Hearing Site: New York, NY
| | |
| 11-02458 | 11/17/2011 | Claimant(s): Steven Horn
Claimant Lawyers(s): David E. Robbins
Respondent(s): Whitehall Wellington Investments.
Respondent Lawyers(s): Stuart Weinberg
Arbitrator(s): Joseph B. Russell, Richard D. Chusid, Clive I. Morrick
Hearing Site: New York, NY
| | |
| 09-04041 | 08/04/2011 | Claimant(s): Jay Moskowitz
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): John T. McDonald
Arbitrator(s): Joseph B. Russell, Michael Peter Yahr, Marianne C. Hussey
Hearing Site: New York, NY
| | |
| 09-06980 | 04/14/2011 | Claimant(s): Keith Stock
Claimant Lawyers(s): Theodore L. Hecht
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Joseph B. Russell, Salvatore J. Bate, Anna Lascar
Hearing Site: New York, NY
| | $0 |
| 09-01760 | 08/27/2010 | Claimant(s): Alvin Trenk
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Joseph B. Russell, Brian F Loveman, Stevan J. Bosses
Hearing Site: New York, NY
| | $0 |
