| 14-00472 | 07/07/2015 | Claimant(s): Kathleen Olivari
Claimant Lawyers(s): Ernest Sasso
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joe Gehring
Arbitrator(s): Faye Riva Cohen, James M. Rhodes, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | |
| 13-02035 | 06/17/2015 | Claimant(s): Julia Numair
Claimant Lawyers(s): John D. Singer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Mary A. Dubas, James M. Rhodes, David J. Weisenfeld
Hearing Site: New York, NY
| | |
| 14-00767 | 05/19/2015 | Claimant(s): Michael Cioffi
Claimant Lawyers(s): Jonathan Sack
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Roger J. Hawke, Howard J. Stiefel, James M. Rhodes
Hearing Site: New York, NY
| | |
| 14-00679 | 02/23/2015 | Claimant(s): Myrna Borus and David Borus
Claimant Lawyers(s): David Borus
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): James M. Rhodes, Alice Holly Oshins, Louis P. Wagman
Hearing Site: New York, NY
|  | $0 |
| 14-00586 | 10/03/2014 | Claimant(s): Bill Tsevdos
Claimant Lawyers(s): Bill S. Tsevdos
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Robert A. Kaiser
Arbitrator(s): James M. Rhodes, Alan Gradzki, Robert Elliot Harrison
Hearing Site: New York, NY
| | |
| 13-01693 | 09/17/2014 | Claimant(s): Steven Halliwell
Claimant Lawyers(s): Steven E. Halliwell
Respondent(s): Linda Miller, Nationwide Investment Services Corporati, Securities Service Network., Walnut Street Securities.
Respondent Lawyers(s): Abigail D. Elrod, Joanna M.F. Wilcomes, Ronald T. Klimas, Victoria A. Flinn
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 12-04298 | 09/10/2014 | Claimant(s): Rajinder Bhatia
Claimant Lawyers(s): Alice Holly Oshins
Respondent(s): Ameriprise Financial Services., Jared Cohen
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Alfred H. Kingon, James M. Rhodes, Stephen M. Schaedtler
Hearing Site: New York, NY
| | Expungement |
| 13-02034 | 04/09/2014 | Claimant(s): Stacy Marcus, Social Strategy LLC
Claimant Lawyers(s): Stacy Lynn Marcus
Respondent(s): Stephen Grivas, Obsidian Financial Group
Respondent Lawyers(s): John Telfer, Stephen Grivas
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
| | $22,623 |
| 12-00327 | 01/30/2013 | Claimant(s): Craig Meisner, David Taylor, Ravi Nursey, Thomas Roth, Timothy Madigan, Vincent Parisot
Claimant Lawyers(s): James M. Griffin
Respondent(s): Commerz Markets LLC
Respondent Lawyers(s): Kenneth J. Kelly
Arbitrator(s): Thomas E. Duggan, David I. Goldblatt, James M. Rhodes
Hearing Site: New York, NY
| | |
| 08-04709 | 05/06/2010 | Claimant(s): Roger Gimbel
Claimant Lawyers(s): Arthur M. Handler
Respondent(s): Stephen Degroat, Jesup & Lamont Securities Corp
Respondent Lawyers(s): Michael Kalmus, Todd Zuckerbrod
Arbitrator(s): Susan C. Lushing, John B. Sprung, James M. Rhodes
Hearing Site: New York, NY
| | $0 |
