| 13-01564 | 02/09/2015 | Claimant(s): Michael Kealy
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Harvey Fuchs, MML Investors Services
Respondent Lawyers(s): Julie E. Ravis, Kate E. DiGeronimo
Arbitrator(s): Cheryl H. Agris, Andrew J. Gerber, Brian Lawrence Berlandi
Hearing Site: New York, NY
|  | Expungement |
| 13-01644 | 07/09/2014 | Claimant(s): Joseph Mack
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Meredith Whitney Securities
Respondent Lawyers(s): Robert C. Angelillo
Arbitrator(s): Andrew J. Gerber, Alan Steven Brodherson, Peter Susser
Hearing Site: New York, NY
| | |
| 12-01058 | 03/21/2013 | Claimant(s): Richard Klein
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Erin Gibbons, Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Ann Pinciss Berman, Martin A. Edelstein, Andrew J. Gerber
Hearing Site: New York, NY
| | $0 |
| 10-02413 | 05/09/2012 | Claimant(s): Mark Berry
Claimant Lawyers(s): Jenice L Malecki
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Cliff Fonstein
Arbitrator(s): Judith C. Greene, Andrew J. Gerber, Martin Deignan Dehler
Hearing Site: New York, NY
| | |
| 09-06530 | 11/07/2011 | Claimant(s): Kenji Higuchi
Claimant Lawyers(s): Madelyn R. Shulman
Respondent(s): William Heiden
Respondent Lawyers(s): William David Heiden
Arbitrator(s): Jeffrey P. Bachmann, Walter M. Schackman, Andrew J. Gerber
Hearing Site: New York, NY
| | $400,000 |
| 10-01743 | 06/08/2011 | Claimant(s): Glenn Garmont
Claimant Lawyers(s): Eric J. Shames
Respondent(s): Gleacher & Company Securities., Gleacher & Company.
Respondent Lawyers(s): Richard G. Kass
Arbitrator(s): Burton M. Fendelman, David I. Goldblatt, Andrew J. Gerber
Hearing Site: New York, NY
| | |
| 09-02035 | 06/03/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Joel E. Davidson
Respondent(s): Ronald Feldstein, Mara Capital Management
Respondent Lawyers(s): Seth Huberman
Arbitrator(s): Norman J. Reich, Mary Ellen Burns, Andrew J. Gerber
Hearing Site: New York, NY
| | Stipulated Award |
