16-01624 | 11/01/2017 | Claimant(s): Westport Resources Management. Claimant Lawyers(s): Richard Slavin Respondent(s): Christopher DeLaura, Fieldpoint Private Securities, Westport Resources Investment Services Respondent Lawyers(s): Jonathan C. Thau, Richard Slavin Arbitrator(s): Dan Brecher, Larry Kars, Randolph Guggenheimer Hearing Site: New York, NY
| | |
13-03642 | 08/19/2015 | Claimant(s): Elisabeth Lurye Claimant Lawyers(s): Brittany Weiner Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Lawrence R. Sandak Arbitrator(s): Randolph Guggenheimer, Lisa Catalano, Fern Sue Reidman Hearing Site: New York, NY
| | |
14-00548 | 05/14/2015 | Claimant(s): Marks Baughan Securities LLC Claimant Lawyers(s): Philip G. Kircher Respondent(s): Inovia Holdings Pty. Ltd. Respondent Lawyers(s): Judith A. Lockhart Arbitrator(s): Randolph Guggenheimer, Gregory J. Getz, Brooks White Hearing Site: New York, NY
| | |
10-04093 | 01/13/2015 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Walter A. Saurack Respondent(s): Deutsche Bank Securities. Respondent Lawyers(s): Allan N. Taffet Arbitrator(s): Joseph A. Forgione, Randolph Guggenheimer, Arthur Best Hearing Site: New York, NY
| | |
11-02379 | 07/12/2012 | Claimant(s): Point Capital Markets, Point Capital Partners Claimant Lawyers(s): James Mahon Respondent(s): Whitney Quillen Respondent Lawyers(s): Stephen DeRosa Arbitrator(s): Randolph Guggenheimer, Peter P. Skomorowsky, Martin Deignan Dehler Hearing Site: New York, NY
| | |
09-03437 | 02/17/2012 | Claimant(s): Mary Rote, William Rote, E.W. Jamison Living Trust dtd 3/28/92 Claimant Lawyers(s): Peter J. Mougey Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): George Sullivan Arbitrator(s): Joel P. Mellis, Randolph Guggenheimer, Ronald F. Rosner Hearing Site: Memphis, TN
| | $400,000 |
10-02602 | 12/02/2011 | Claimant(s): A.K. Capital Claimant Lawyers(s): Matthew E. Lipman Respondent(s): Thomas McHugh, The Princeridge Group LLC, Triton Funding Partners Respondent Lawyers(s): Daniel Cevallos, Victor C. Bushell Arbitrator(s): Randolph Guggenheimer, Ellyn S. Roth, Robert Bartels Hearing Site: New York, NY
| | |
09-06951 | 05/20/2011 | Claimant(s): David F Fleming IRA, David and Carmeletta Fleming, David F Fleming & Carmeletta Fleming Tr Claimant Lawyers(s): Howard B. Prossnitz Respondent(s): Gary Aday, Morgan Keegan & Company. Respondent Lawyers(s): Larry Polk Arbitrator(s): Jim Geiger, E. William Pastor, Randolph Guggenheimer Hearing Site: Little Rock, AR
| | $170,000 |
09-04130 | 12/29/2010 | Claimant(s): Morgan Stanley Smith Barney Claimant Lawyers(s): Alan S. Brodherson Respondent(s): Clifford Feldstein, Kenneth Sitomer, Ronald Feldstein, Mara Capital Management Respondent Lawyers(s): Jay Goldberg, Seth Huberman Arbitrator(s): Ann C. Northern, Marilyn J. Salzman, Randolph Guggenheimer Hearing Site: New York, NY
| | $0 |
09-03237 | 08/24/2010 | Claimant(s): Hilary Shane Claimant Lawyers(s): Richard M. Asche Respondent(s): First New York Securities L.L.C. Respondent Lawyers(s): David G. Smitham Arbitrator(s): Jacob Aschkenasy, James S. Hazard, Randolph Guggenheimer Hearing Site: New York, NY
| | |