13-00918 | 06/16/2014 | Claimant(s): Sabina Phillips Claimant Lawyers(s): Sabina Phillips Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Stuart D. Roberts Arbitrator(s): David Finnegan, Saul Scheier, Thomas M. Amadio Hearing Site: New York, NY
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11-00598 | 08/15/2013 | Claimant(s): Serge Nahas Claimant Lawyers(s): Theodore G. Eppenstein Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Joseph Baumgarten Arbitrator(s): David Finnegan, Keely D. Parr, Linda J. Baer, Michael F. Spellman Hearing Site: New York, NY
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12-00260 | 08/08/2013 | Claimant(s): James Nangle Claimant Lawyers(s): Todd Gutfleisch Respondent(s): SG Americas Securities, Societe Generale Respondent Lawyers(s): Lloyd S. Clareman Arbitrator(s): Martin Jay Siegel, David Finnegan, Peter McClellan Wright Hearing Site: New York, NY
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12-03671 | 05/23/2013 | Claimant(s): Barclays Capital Inc. Claimant Lawyers(s): Barry S. Gold Respondent(s): David Konsky d/b/a Forest Advisors Respondent Lawyers(s): David Konsky Arbitrator(s): David Finnegan Hearing Site: New York, NY
| | $0 |
12-00550 | 10/15/2012 | Claimant(s): Alessandra Rosenfeld Claimant Lawyers(s): Alessandra Rosenfeld Respondent(s): Susquehanna Financial Group, LLLP Respondent Lawyers(s): Caron L. Alberts Arbitrator(s): Irwin Kahn, David Finnegan, Thomas Naylor Hearing Site: New York, NY
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11-00489 | 07/19/2012 | Claimant(s): Shirley Baer Claimant Lawyers(s): Barry R. Lax Respondent(s): Hemant Singh, Financial Network Investment C Respondent Lawyers(s): Barry R. Temkin, Matthew Tracy Arbitrator(s): David Finnegan, Robert G. O'Brien, Peter C. Salerno Hearing Site: New York, NY
| | Expungement |
11-03086 | 05/04/2012 | Claimant(s): Bernard Parker, Edward Jones Claimant Lawyers(s): Dennis J. Capriglione Respondent(s): Mary Falloon Respondent Lawyers(s): Mary Jane Falloon Arbitrator(s): David Finnegan, Larry Kars, Mary K. Ortegon Hearing Site: New York, NY
| | Expungement |
06-03048 | 12/24/2007 | Claimant(s): Adam Aspes, Catherine Lesterhuis, Curtis Thompson, Jacob Morton, Scott Hootman Claimant Lawyers(s): Latanishia D. Watters Respondent(s): Brian Foley, Daniel Joyce, Michael Braun, William Devin Jr., Moor & Cabot Inc., Sal Financial Services., d/b/a Ster, Sterne Agee Capital Markets., Sterne, Agee & Leach. Respondent Lawyers(s): Latanishia D. Watters, Sander A. Rikleen Arbitrator(s): Paul J. Camilleri, David Finnegan, John F. Duane Hearing Site: New York, NY
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