| 15-00937 | 05/03/2017 | Claimant(s): Cor Clearing LLC
Claimant Lawyers(s): Lawrence Ecoff
Respondent(s): Oppenheimerfunds Distributor.
Respondent Lawyers(s): Michael S. Doluisio
Arbitrator(s): Daniel B. Berkson, Domitilia M. dos Santos, Donald Raymond McNally
Hearing Site: New York, NY
| | |
| 14-01929 | 08/24/2015 | Claimant(s): Saagar Gupta
Claimant Lawyers(s): Daniel E. Rhynhart
Respondent(s): HAP Trading
Respondent Lawyers(s): Ira Lee Sorkin
Arbitrator(s): Daniel B. Berkson, Howard L. Sobel, Linda J. Baer
Hearing Site: New York, NY
| | |
| 14-02419 | 07/16/2015 | Claimant(s): John Gatens
Claimant Lawyers(s): Robert S. Balsam
Respondent(s): Daniel Lavecchia, Louis Scotto, Robert Kellan, BGC Financial, L.P.
Respondent Lawyers(s): Michael S. Popok
Arbitrator(s): Daniel B. Berkson, Robert E. Anderson, Thomas Michael Gandolfo
Hearing Site: New York, NY
| | |
| 12-04362 | 03/20/2015 | Claimant(s): Richard Faherty
Claimant Lawyers(s): Michael J. Giarrusso
Respondent(s): Joseph Accardi, Morgan Stanley, Ruven Rodriguez
Respondent Lawyers(s): William Hohauser
Arbitrator(s): Daniel B. Berkson, Howard L. Sobel, Ellen R. Badinelli
Hearing Site: New York, NY
|  | Expungement |
| 11-03356 | 11/29/2012 | Claimant(s): Kenneth Barrett
Claimant Lawyers(s): Mark J. Astarita
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley Market Products Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Daniel B. Berkson, David I. Goldblatt, Brian Lawrence Berlandi
Hearing Site: New York, NY
| | |
| 10-00220 | 02/08/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Beth Delaney
Respondent(s): Robert Chester
Respondent Lawyers(s): W. Hubert Plummer
Arbitrator(s): Daniel B. Berkson, Mitchell S. Friedman, Judith Fields Jurney
Hearing Site: New York, NY
| | |
| 09-01389 | 10/29/2010 | Claimant(s): Olav Refvik
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Jennifer Barrett
Arbitrator(s): Daniel B. Berkson, Kenneth M. Felder, Howard Breindel
Hearing Site: New York, NY
| | |
| 06-02954 | 03/24/2010 | Claimant(s): Cantor Fitzgerald Securities
Claimant Lawyers(s): Francis X. Riley
Respondent(s): Refco Securities
Respondent Lawyers(s): Arthur H. Ruegger
Arbitrator(s): Thomas E. Duggan, Daniel B. Berkson, Lois M. Goldstein
Hearing Site: New York, NY
| | |
| 08-03207 | 01/13/2010 | Claimant(s): Fordham Financial Management.
Claimant Lawyers(s): Brian Neville
Respondent(s): John Alejos
Respondent Lawyers(s): Juan C. Alejos
Arbitrator(s): Daniel B. Berkson, John P. Bevilacqua, Arthur D. Felsenfeld
Hearing Site: New York, NY
| | |
| 09-01122 | 11/04/2009 | Claimant(s): American Stone.
Claimant Lawyers(s): Jennifer M. Jordan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): Daniel B. Berkson, Jeanne C. Miller, Joel P. Mellis
Hearing Site: New York, NY
| | $0 |
