| 23-01036 | 11/06/2023 | Claimant(s): Christopher Norton
Claimant Lawyers(s): Joshua A Katz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Randy R Freedman, Michael Ross, Barry David Thorpe
Hearing Site: Boca Raton, FL
| | |
| 20-03262 | 04/29/2022 | Claimant(s): Bluebay Multistrat, L.P.
Claimant Lawyers(s): Romain Bruere
Respondent(s): Clear Street LLC, Precision Securities
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Diane M. Perry, Monroe Mitchel, Michael Ross
Hearing Site: Boca Raton, FL
|  | Dismissed by Rule 12511/12212/12504 |
| 12-00451 | 11/18/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward B. Magarian
Respondent(s): Daniel Masiello, Mary Baranowski-Gallo, Philip Pursino
Respondent Lawyers(s): Edward B. Magarian, James E. Heavey, Philip Pursino
Arbitrator(s): Michael Ross, Martin A. Edelstein, Marianne C. Hussey
Hearing Site: New York, NY
| | |
| 10-03544 | 11/02/2011 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): William B. Fleming
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): Larry A. Kimmel, Maive R. Dale, Michael Ross
Hearing Site: New York, NY
| | |
| 10-01016 | 04/18/2011 | Claimant(s): Richard Turnbull
Claimant Lawyers(s): Laurence S. Moy
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Michael Ross, Peter P. Skomorowsky, Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | |
| 08-02775 | 09/24/2009 | Claimant(s): Zvi Osterweil
Claimant Lawyers(s): Rebecca C. Davis
Respondent(s): Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger, Joseph L. Calabrese
Arbitrator(s): Joan M. Traub, Michael Ross, Charles F. Titterton
Hearing Site: New York, NY
| | $40,000 |
| 05-05422 | 11/14/2008 | Claimant(s): DDIM Holdings, Riverside Holdings, L.L.P.,
Claimant Lawyers(s): William Dahill
Respondent(s): Goldman, Sachs and Company, Sofia Frankel
Respondent Lawyers(s): Michael Dell
Arbitrator(s): Michael Ross, Michael S. Lazan, Doris B. Nathan
Hearing Site: New York, NY
| | $0 |
| 06-04392 | 12/03/2007 | Claimant(s): GunnAllen Financial Inc
Claimant Lawyers(s): Jay Marc Israel
Respondent(s): Wayne Lieberz
Respondent Lawyers(s): Stuart A. Jackson
Arbitrator(s): Michael Ross, Philip Florio, Brian R. Cohen
Hearing Site: New York, NY
| | |
| 06-04998 | 10/24/2007 | Claimant(s): Richard Streisfeld
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Michael Ross, Sherri L. Hughes, Lawrence J. Roth
Hearing Site: New York, NY
| | |
