| 19-02000 | 04/08/2020 | Claimant(s): Insight Securities.
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): David G. Januszewski
Arbitrator(s): Leonard M. Bakal, Alice Holly Oshins, Raquel Kraus
Hearing Site: New York, NY
| | |
| 15-03186 | 09/17/2019 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Stephen M Kramarsky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Carl Mills
Arbitrator(s): Leonard M. Bakal, Susan E. Harkins, Margaret Else Nelson
Hearing Site: New York, NY
| | |
| 17-01806 | 08/23/2018 | Claimant(s): Gopal Tampi
Claimant Lawyers(s): Daniel J Kaiser
Respondent(s): Nomura Securities International.
Respondent Lawyers(s): Joel A. Chernov
Arbitrator(s): Leonard M. Bakal, Linda Ashley, Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 16-02256 | 03/01/2018 | Claimant(s): Rochdale Securities LLC
Claimant Lawyers(s): Aaron A. Romney
Respondent(s): Carl Acebes, Daniel Crowley, Hal Tunick, Harlan Sender, Kristen Talgo, Quad Capital
Respondent Lawyers(s): Aaron A. Romney, Michael A. Kleinman, Paul W. Ryan
Arbitrator(s): Leonard M. Bakal, Gregory J. Getz, Phillip Weitzman
Hearing Site: New York, NY
| | |
| 14-00257 | 03/01/2016 | Claimant(s): Penson Technologies LLC
Claimant Lawyers(s): Virgina C. Palitz
Respondent(s): Opus Trading Fund LLC
Respondent Lawyers(s): Michael R. Yellin
Arbitrator(s): Leonard M. Bakal, Jeffrey F. Friedman, Eric S. Hutner
Hearing Site: New York, NY
| | |
| 12-01882 | 10/29/2013 | Claimant(s): Deanna Shanab, Paul Shanab
Claimant Lawyers(s): David W. Sparrow
Respondent(s): Sandgrain Securities LLC
Respondent Lawyers(s): Anna Pia D. Nicolas
Arbitrator(s): Leonard M. Bakal, Abigail J. Pessen, Regina Irena Arnold Mullen
Hearing Site: New York, NY
|  | $91,105 |
| 12-00919 | 06/06/2013 | Claimant(s): Linda Savitch
Claimant Lawyers(s): Victor P. Muskin
Respondent(s): Frank Palombo, Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Leonard M. Bakal, Vincent C. Pangia, Brian John Gallagher
Hearing Site: New York, NY
| | $0 |
| 08-02886 | 04/23/2010 | Claimant(s): Richard Solano
Claimant Lawyers(s): Kenneth Gunshor
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mauricio S. Beugelmans
Arbitrator(s): Eugene M. Kaufman, Leonard M. Bakal, Keely D. Parr
Hearing Site: New York, NY
| | $0 |
| 08-00135 | 08/06/2008 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Ronald Cole
Respondent Lawyers(s): Ronald Stillman Cole
Arbitrator(s): Leonard M. Bakal
Hearing Site: New York, NY
| | |
