| 21-00363 | 10/04/2021 | Claimant(s): Mihir Patel
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Preston Martin
Arbitrator(s): Richard W. Cutler, Robert E. Anderson, Jonathan Ashley Pomeroy
Hearing Site: New York, NY
| | |
| 20-01635 | 06/07/2021 | Claimant(s): Christ Baltas, Michael Chakos, Vincent Mangone
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Worden Capital Management LLC, Jamie Worden
Respondent Lawyers(s): William M. Dailey
Arbitrator(s): Robert J. Kheel, Harvey Barrison, Jerome Bernard McDevitt
Hearing Site: New York, NY
| | |
| 18-01386 | 05/15/2019 | Claimant(s): Edward Dobroski
Claimant Lawyers(s): Liam O'Brien
Respondent(s): William Gennity
Respondent Lawyers(s): William Christian Gennity
Arbitrator(s): Robert A. Bettis, Douglas Wade Carvell, Michael Joseph Riggs
Hearing Site: Dallas, TX
|  | $2,404,380 |
| 17-01682 | 03/19/2019 | Claimant(s): Leon Morgan
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): John Lowry, Kim Monchik, SCS Advisory Services, Spartan Capital Holding, Spartan Capital Securities
Respondent Lawyers(s): Liam O'Brien
Arbitrator(s): Susan Manca, Bryan Lane Berson, Elliot Schnapp
Hearing Site: New York, NY
| | Expungement |
| 16-03605 | 08/24/2018 | Claimant(s): Kathy Wookey, Thomas Wookey
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): John Lowry, Robert Murray, Spartan Capital Securities, Llc
Respondent Lawyers(s): Liam O'Brien
Arbitrator(s): Paul H. Lamboley, Danielle L. Anderson, Dee Maresso-Newell
Hearing Site: Rapid City, SD
| | $330,425 |
| 16-02823 | 05/23/2018 | Claimant(s): James Holstine
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Gary Demetri, Robert Marcus, Spartan Capital Securities
Respondent Lawyers(s): Liam O'Brien
Arbitrator(s): Terry F. Peppard, Ronald L. Lantz, Kenneth M. Cherrier
Hearing Site: Des Moines, IA
| | $22,108 |
| 17-00544 | 02/26/2018 | Claimant(s): Anthony Bavedas
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Prudential Equity Group, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Megan Christensen
Arbitrator(s): Khadijah B. Matin, Zung T. Nguyen
Hearing Site: New York, NY
| | |
| 15-02971 | 05/15/2017 | Claimant(s): Susan Monaco, Luke Monaco Custodian Account
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Alexander Capital, L.P., Legend Securities.
Respondent Lawyers(s): Aaron Wright, Salvatore C. Caruso
Arbitrator(s): Steven R. Bralove, David Paul Clark, Jane A. Smith
Hearing Site: Washington, DC
| | $0 |
| 13-03537 | 04/10/2015 | Claimant(s): Zachary Bader
Claimant Lawyers(s): Robert M. Bursky
Respondent(s): Brent Porges, Craig Taddonio, Craig Scott Capital
Respondent Lawyers(s): Liam O'Brien
Arbitrator(s): Howard J. Stiefel, C. Kenneth Yoblon, Denise L. Quarles
Hearing Site: New York, NY
| | |
| 10-00745 | 05/08/2013 | Claimant(s): John Medley
Claimant Lawyers(s): Michael Fahey
Respondent(s): John Stapleton, Pointe Capital.
Respondent Lawyers(s): Aime Dempsey, Liam O'Brien
Arbitrator(s): Robert T. Allen, George W. McKellar, Michael F. Pearl
Hearing Site: Raleigh, NC
| | Expungement |
