| 16-00112 | 11/08/2016 | Claimant(s): Quad Capital Management, Quad Capital
Claimant Lawyers(s): Joseph M. Pastore
Respondent(s): Joseph Monte
Respondent Lawyers(s): Seth T. Taube
Arbitrator(s): James D. Yellen, Robert Bartels
Hearing Site: New York, NY
| | |
| 14-02749 | 05/06/2016 | Claimant(s): Global Medical Trans LLC. PSP
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Peter A. Goldman, Sanford S. Stevens, Robert Bartels
Hearing Site: New York, NY
|  | $0 |
| 15-01462 | 04/04/2016 | Claimant(s): Allstate Financial Services
Claimant Lawyers(s): S. Lawrence Polk
Respondent(s): Larry Weinbaum
Respondent Lawyers(s): Larry R. Weinbaum
Arbitrator(s): Arnold Wagner, Lawrence Robert Gould, Robert Bartels
Hearing Site: New York, NY
| | |
| 13-01020 | 12/31/2014 | Claimant(s): Mohamed Kamara
Claimant Lawyers(s): Brian Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Daniel J. McCarthy, Robert Bartels, Daniel J. Brooks
Hearing Site: New York, NY
| | |
| 11-02883 | 09/16/2014 | Claimant(s): Sarah Yarmak
Claimant Lawyers(s): Jeffrey Yarmak
Respondent(s): Neville Golvala, Ronald Buckner, Choicetrade, Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet, Patrick Gaffney
Arbitrator(s): Alida D. Camp, Robert Bartels, Paul S. Biederman
Hearing Site: New York, NY
| | $0 |
| 11-04657 | 06/26/2013 | Claimant(s): Mildred Pitchon
Claimant Lawyers(s): G. Martin Meyers
Respondent(s): David Donovan, Citigroup Global Markets., Morgan Stanley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Adam Kauff, Angela T. Turiano
Arbitrator(s): Steven David Leader, Keith Roberts, Robert Bartels
Hearing Site: New York, NY
| | Expungement |
| 12-02362 | 06/13/2013 | Claimant(s): Gregory Kiernan
Claimant Lawyers(s): Gregory Kiernan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina P. Martorana
Arbitrator(s): David L. Binhak, Keely D. Parr, Robert Bartels
Hearing Site: New York, NY
| | $67,254 |
| 10-02602 | 12/02/2011 | Claimant(s): A.K. Capital
Claimant Lawyers(s): Matthew E. Lipman
Respondent(s): Thomas McHugh, The Princeridge Group LLC, Triton Funding Partners
Respondent Lawyers(s): Daniel Cevallos, Victor C. Bushell
Arbitrator(s): Randolph Guggenheimer, Ellyn S. Roth, Robert Bartels
Hearing Site: New York, NY
| | |
| 09-01067 | 01/06/2011 | Claimant(s): David Sacco
Claimant Lawyers(s): Jeffery L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Patrick W. Shea
Arbitrator(s): Brian J. Burstin, Kevin B. Naughten, Robert Bartels
Hearing Site: New York, NY
| | |
| 07-03514 | 12/14/2009 | Claimant(s): Chase Investment Services Corp.
Claimant Lawyers(s): Michael J. McAllister
Respondent(s): Dino Dionne-Tontchev, National Securities Corporation, National Asset Management., Worldwide Wealth Management Inc.
Respondent Lawyers(s): Dino Dionne, Jamie Diaz, Mark Roth
Arbitrator(s): John N. Polakas, Elaine D. Papas, Robert Bartels
Hearing Site: New York, NY
| | |
