| 17-03461 | 09/04/2018 | Claimant(s): Bi-Zheng Liu, Jason Lin
Claimant Lawyers(s): Ying Zhou
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Patrick R. Westerkamp, Lorrie E Whitfield, Christopher Scott Conner
Hearing Site: Philadelphia, PA
|  | Dismissed by Rule 12206 |
| 17-03192 | 08/06/2018 | Claimant(s): Michael Damon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Christen Leah Casale
Arbitrator(s): Jim Geiger
Hearing Site: Providence, RI
| | |
| 17-02512 | 07/09/2018 | Claimant(s): Dustin Aiguier
Claimant Lawyers(s): Michael Bessette
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Brandon J. Brigham
Arbitrator(s): Frank Sanclemente
Hearing Site: Boston, MA
| | |
| 16-01561 | 01/29/2018 | Claimant(s): Thomas Howes
Claimant Lawyers(s): Thomas W. Howes
Respondent(s): NYLife Securities LLC, Christopher Cuneo, Daniel Frazier, David Ponder, James Robertson, Joseph Lapietra, Noel Kellert, Pragnesh Bhatt, Satchie Carvounis, Scott Potoma, Scotty Reedy, New York Life Insurance Company
Respondent Lawyers(s): Brandon J. Brigham, Jeffrey A. Sturgeon
Arbitrator(s): Evelyn D. Pisegna-Cook, Olivia Milbank Farrar, Valencia Renae Rainey
Hearing Site: Washington, DC
| | |
| 17-01153 | 10/09/2017 | Claimant(s): David Coult
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Donald S. Bauman
Hearing Site: Philadelphia, PA
| | |
| 17-00207 | 09/28/2017 | Claimant(s): Bradley Burton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Olivia Milbank Farrar
Hearing Site: Washington, DC
| | |
| 15-03377 | 07/17/2017 | Claimant(s): Amelia Self
Claimant Lawyers(s): Duke R. Groover
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Christina Meddin
Arbitrator(s): James R. McGuone, Judith Stilz Ogden, James Albert Nofi
Hearing Site: Atlanta, GA
| | |
| 16-02429 | 05/12/2017 | Claimant(s): Kristopher Whitney
Claimant Lawyers(s): Kristopher C. Whitney
Respondent(s): NYLife Securities LLC, Carolyn Wagner, Edward Martinez, Jaime Garcia, Nancy Hunt
Respondent Lawyers(s): Carolyn Maureen Wagner, Edward O. Martinez, Jaime Eduardo Garcia, Mike G. Brown, Nancy L. Hunt
Arbitrator(s): Daniel J. Pagnano, Elena DiIorio, Curtis Jay Meador
Hearing Site: Houston, TX
| | Expungement |
| 15-00626 | 09/01/2016 | Claimant(s): Gregory Broomer
Claimant Lawyers(s): Brittany Weiner
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Elise M. Bloom
Arbitrator(s): Michael Allen Zeiler, Gregory Hunter Mathews, Lorrie E Whitfield
Hearing Site: Philadelphia, PA
| | |
| 15-01393 | 04/08/2016 | Claimant(s): Amr Aboulmagd
Claimant Lawyers(s): Amr Mostafa Aboulmagd
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Patrick R. Westerkamp, Esq.
Hearing Site: Philadelphia, PA
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