| 17-01276 | 07/31/2018 | Claimant(s): Anthony Fitzhenry
Claimant Lawyers(s): Anthony Fitzhenry
Respondent(s): Bruce Guarino, Dennis Grubelic, Douglas Guarino, Glen Stifelman, Rockwell Global Capital LLC
Respondent Lawyers(s): Dennis Grubelic, Glen Robert Stifelman, Robert M. Bursky
Arbitrator(s): Richard Gee
Hearing Site: New York, NY
|  | $0 |
| 17-00192 | 04/24/2018 | Claimant(s): Matthew Proman
Claimant Lawyers(s): Robert Miller
Respondent(s): Byron Roth, David Farina, Jared Schramm, Roth Capital Partners
Respondent Lawyers(s): John R. Loftus
Arbitrator(s): Fred S. Pieroni, Richard Gee, Walter Arthur Saurack
Hearing Site: New York, NY
| | Expungement |
| 16-01645 | 02/12/2018 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Ian Hummel
Respondent(s): Critical Outcome Technologies Inc.
Respondent Lawyers(s): Vivian Drohan
Arbitrator(s): Rebecca A. Novak, Daniel Robbins, Richard Gee
Hearing Site: New York, NY
| | |
| 16-01877 | 12/29/2017 | Claimant(s): Bright Lake Management LLC, Bright Lake LP
Claimant Lawyers(s): Ilan Preis
Respondent(s): Broadcort Capital Corporation, Jack Seibald, Merrill Lynch Pierce Fenner & Smith Inc., Michael Rosen, Robert Moore, Concept Capital Markets, Cowen Prime Services LLC, Merrill Lynch Professional Clearing Corp
Respondent Lawyers(s): Mark D. Knoll, Mark J. Hyland
Arbitrator(s): Anna M. Fanelli, Lynne M. Reid-McQueen, Richard Gee
Hearing Site: New York, NY
| | $0 |
| 16-02386 | 01/23/2017 | Claimant(s): Stephen Anderson
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Jeffrey Miller, Jeffrey Tabak, Miller Tabak + Co., Mitchell Securities.
Respondent Lawyers(s): Jeffrey Miller, Thomas S. Mitchell
Arbitrator(s): Richard Gee
Hearing Site: New York, NY
| | |
| 15-01963 | 01/20/2017 | Claimant(s): Hirak Biswas
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Patrick J. Lamparello
Arbitrator(s): Anna M. Fanelli, Mitchell Jay Bayer, Richard Gee
Hearing Site: New York, NY
| | |
| 15-02231 | 10/20/2016 | Claimant(s): Julian Cash
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): David A. Paul
Arbitrator(s): Thomas A. O'Neill, Graham Daw, Richard Gee
Hearing Site: New York, NY
| | |
| 11-02381 | 04/04/2014 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Todd Rubsamen
Respondent Lawyers(s): Todd Rubsamen
Arbitrator(s): Mitchell S. Friedman, John Nino Brenkovich, Richard Gee
Hearing Site: New York, NY
| | |
| 12-02380 | 12/20/2013 | Claimant(s): Devis Zgrinskic
Claimant Lawyers(s): David Hirschberg
Respondent(s): Joseph DiMauro, Clark Dodge & Co..
Respondent Lawyers(s): Frank J. Franzino
Arbitrator(s): J. Julie Jason, Keely D. Parr, Richard Gee
Hearing Site: New York, NY
| | |
| 11-00508 | 10/19/2012 | Claimant(s): Michael Pascazi
Claimant Lawyers(s): Michael S. Pascazi
Respondent(s): Citigroup Global Markets., Morgan Stanley, Richard Divenuto, Salomon Smith Barney Inc.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Pamela H. Roderick, Allan E. Johnson, Richard Gee
Hearing Site: New York, NY
| | Expungement |
