| 19-00474 | 03/25/2021 | Claimant(s): Alberto Nieves, Gladys Anton
Claimant Lawyers(s): Darryl J. Bouganim
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jeffrey J. Chapman
Arbitrator(s): Jack Friedman, Mary Ellen Burns, Edmund Timothy Donovan
Hearing Site: New York, NY
|  | $250,000 |
| 11-00134 | 09/09/2019 | Claimant(s): Constantine Demopoulos, Michael Fontaine
Claimant Lawyers(s): Jeffrey Liddle
Respondent(s): Deutsche Bank Securities., Deutsche Bank AG
Respondent Lawyers(s): Cliff Fonstein
Arbitrator(s): Ted M. Rosen, Mary Ellen Burns, Philip Rachmelowitz
Hearing Site: New York, NY
| | |
| 18-02592 | 01/30/2019 | Claimant(s): Ivan Shore
Claimant Lawyers(s): John Coster
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Madelyn A. Levy, Mary Ellen Burns, Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 17-00520 | 01/29/2018 | Claimant(s): Drema Weaver, BB&T Investment Services.
Claimant Lawyers(s): Katherine McGrail
Respondent(s): Carl Foxworth, Mollie Foxworth
Respondent Lawyers(s): Gene M. Connell
Arbitrator(s): Allan N. Taffet, Mary Ellen Burns, Richard A. Cini
Hearing Site: New York, NY
| | Expungement |
| 15-02956 | 12/28/2016 | Claimant(s): Royce Potts
Claimant Lawyers(s): Royce H. Potts
Respondent(s): Mutual Of Omaha Investor Services.
Respondent Lawyers(s): Alison M. Gutierrez
Arbitrator(s): Mary Ellen Burns, Annamaria Boccia Smith, Mariane A. Liebowitz
Hearing Site: New York, NY
| | |
| 13-01636 | 11/27/2013 | Claimant(s): Laidlaw & Company (UK) Ltd.
Claimant Lawyers(s): Richard J. Babnick
Respondent(s): Falcon Investment Partners Limited
Respondent Lawyers(s): Alexandra J. Marinzel
Arbitrator(s): Mary Ellen Burns, Lisa Catalano, Sally Jane Sancimino
Hearing Site: New York, NY
| | $0 |
| 12-00888 | 08/13/2013 | Claimant(s): Kim Timmins
Claimant Lawyers(s): Pamela Aurelien
Respondent(s): Deutsche Bank Securities., Mario Saljanin
Respondent Lawyers(s): Karen M. Steel
Arbitrator(s): Denzil J. Klippel, Alfonso G. Figliolia, Mary Ellen Burns
Hearing Site: New York, NY
| | |
| 10-01486 | 08/14/2012 | Claimant(s): Seymour Topple
Claimant Lawyers(s): Michael Finkelstein
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Erin Linehan Reyes
Arbitrator(s): Martin Jay Siegel, Mary Ellen Burns, Richard Bryce Nesson
Hearing Site: New York, NY
| | $0 |
| 12-01624 | 05/16/2012 | Claimant(s): Seymour Topple
Claimant Lawyers(s): Timothy Feil
Respondent(s): Steven Jennings
Respondent Lawyers(s): Steven Andrew Jennings
Arbitrator(s): Martin Jay Siegel, Mary Ellen Burns, Richard Bryce Nesson
Hearing Site: New York, NY
| | $0 |
| 10-00672 | 02/17/2011 | Claimant(s): Marta Toscano and Robert M. Toscano
Claimant Lawyers(s): Karen J Van Ingen
Respondent(s): Chase Investment Services Corp., Marshall Foster
Respondent Lawyers(s): Heather L. Freiburger
Arbitrator(s): Mary Ellen Burns
Hearing Site: New York, NY
| | $39,784 |
