| 18-03234 | 05/31/2019 | Claimant(s): Susan Mcconnell
Claimant Lawyers(s): Susan McConnell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Justin Condit
Arbitrator(s): Joan Marie Chiusano, Sam Antar, James M. Rhodes
Hearing Site: Newark, NJ
| | |
| 15-01108 | 10/08/2018 | Claimant(s): Mary Whalen
Claimant Lawyers(s): Tyler Korn
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James Vihstadt
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
|  | $0 |
| 18-00182 | 08/01/2018 | Claimant(s): Amy Kornblau, David Kornblau, Joel Kornblau
Claimant Lawyers(s): Anthony Michael Sabino
Respondent(s): Harry Datys, Westpark Capital.
Respondent Lawyers(s): Julie Kamps
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
| | $300 |
| 16-01342 | 07/06/2018 | Claimant(s): Jeffry Brown
Claimant Lawyers(s): Joshua D. Rievman
Respondent(s): NB Alternatives Advisers LLC, Neuberger Berman LLC
Respondent Lawyers(s): Robert N. Holtzman
Arbitrator(s): Ted M. Rosen, Robert L. Nisely, James M. Rhodes
Hearing Site: New York, NY
| | |
| 17-01510 | 06/06/2018 | Claimant(s): Wendy Marcus
Claimant Lawyers(s): Paul A. Lieberman
Respondent(s): Richard Feldman, Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Paul J. Camilleri, Richard W. Cutler, James M. Rhodes
Hearing Site: New York, NY
| | $0 |
| 16-03204 | 12/20/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Dudley Stephens
Respondent Lawyers(s): Dudley Franklin Stephens
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
| | |
| 14-02645 | 09/26/2016 | Claimant(s): Andrew Garrett.
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Terry Harris
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Theodor Brown, Michael H. DuBoff, James M. Rhodes
Hearing Site: New York, NY
| | |
| 15-00164 | 05/11/2016 | Claimant(s): Oscar Artola
Claimant Lawyers(s): Oscar A. Artola
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): J. Michael Nolan
Arbitrator(s): James M. Rhodes, Steven Irving Platt, James Drew Butler
Hearing Site: Baltimore, MD
| | |
| 14-03110 | 05/05/2016 | Claimant(s): Kevin Logan
Claimant Lawyers(s): Kevin Logan
Respondent(s): HSBC Brokerage (USA) Inc.
Respondent Lawyers(s): John E. Kiley
Arbitrator(s): Arnold Wagner, Domitilia M. dos Santos, James M. Rhodes
Hearing Site: New York, NY
| | |
| 15-01057 | 01/20/2016 | Claimant(s): Leonora Combattente
Claimant Lawyers(s): Leonora Combattente
Respondent(s): Eric Taitz, Royal Alliance Associates.
Respondent Lawyers(s): Eric Taitz, Ronald W. Sannicandro
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
| | $300 |
