17-01843 | 04/27/2018 | Claimant(s): Avinash Daswani Claimant Lawyers(s): Robert L. Herskovits Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Robert E. Anderson Hearing Site: New York, NY
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17-01549 | 04/26/2018 | Claimant(s): Peter Marketos Claimant Lawyers(s): Robert L. Herskovits Respondent(s): Oppenheimer & Co.., Raymond, James & Associates. Respondent Lawyers(s): John T. McGuire, Robert M. Rudnicki Arbitrator(s): Joseph J. Arata Hearing Site: New York, NY
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17-01537 | 04/05/2018 | Claimant(s): Peter Marketos Claimant Lawyers(s): Robert L. Herskovits Respondent(s): Oppenheimer & Co.., Raymond, James & Associates. Respondent Lawyers(s): Ralph T. Izzo, Robert M. Rudnicki Arbitrator(s): Ted M. Rosen Hearing Site: New York, NY
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17-02114 | 01/10/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings Claimant Lawyers(s): Robert L. Herskovits Respondent(s): James Mackey Respondent Lawyers(s): James Lee Mackey Arbitrator(s): Maryanne M. Esser Hearing Site: Little Rock, AR
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16-02160 | 09/26/2017 | Claimant(s): Linda Kaplan Claimant Lawyers(s): Kevin T. Hoffman Respondent(s): Oppenheimer & Co.., Raymond, James & Associates., Peter Marketos Respondent Lawyers(s): Ralph T. Izzo, Robert L. Herskovits, Robert M. Rudnicki Arbitrator(s): Brooks White, Patricia Kathleen Costello, Elliot Schnapp Hearing Site: New York, NY
| | Expungement |
16-01375 | 05/08/2017 | Claimant(s): Todd Brown Claimant Lawyers(s): Robert L. Herskovits Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Scott R. Koch Arbitrator(s): Roger J. Hawke, Ellyn S. Roth, Peter McClellan Wright Hearing Site: New York, NY
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16-02169 | 04/20/2017 | Claimant(s): Carol Cohen, Martin Cohen Claimant Lawyers(s): Kevin T. Hoffman Respondent(s): Oppenheimer & Co.., Raymond, James & Associates., Peter Marketos Respondent Lawyers(s): Ralph T. Izzo, Robert L. Herskovits, Robert M. Rudnicki Arbitrator(s): Annamaria Boccia Smith, Benjamin L. Anderson, Steven Hale Zousmer Hearing Site: New York, NY
| | Expungement |
16-02478 | 03/16/2017 | Claimant(s): Ramnarain Jaigobind Claimant Lawyers(s): Robert L. Herskovits Respondent(s): Aegis Capital Corp. Respondent Lawyers(s): John Hitchings Arbitrator(s): Jeffrey F. Friedman, Sam Antar, Anna Lascar Hearing Site: New York, NY
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16-01131 | 08/24/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Robert L. Herskovits Respondent(s): Christopher Seshadri Respondent Lawyers(s): Christopher Adam Seshadri Arbitrator(s): Howard D. Jacob Hearing Site: New York, NY
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15-01084 | 02/16/2016 | Claimant(s): Barbara Schroeder, Stefan Kreuzer, BAPG Partnership Ltd. Claimant Lawyers(s): Robert L. Herskovits Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Rogala Respondent Lawyers(s): Nick Hendrix Arbitrator(s): Sherry R. Wetsch, Philip I. McConnell, Jeffrey R. Jury Hearing Site: Houston, TX
| | Expungement |