| 09-01975 | 06/23/2011 | Claimant(s): Gary Goldberg & Co.., Gary Goldberg Planning Services.
Claimant Lawyers(s): Arnold E. Reiter
Respondent(s): Ameriprise Financial Services., Leah Lebovits, Sidney Abramowitz
Respondent Lawyers(s): John Greco, Philip J. Campisi
Arbitrator(s): Michael H. DuBoff, Alfonso G. Figliolia, Abigail J. Pessen
Hearing Site: New York, NY
| | |
| 09-05038 | 12/29/2010 | Claimant(s): George Comeau
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Jack Friedman, Christopher C. Gorski, Abigail J. Pessen
Hearing Site: New York, NY
|  | Expungement |
| 09-02630 | 12/02/2010 | Claimant(s): James Dunning
Claimant Lawyers(s): Jon Paul Robbins
Respondent(s): Brian Hirsch, Martin Shafiroff, Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Joel P. Mellis, Abigail J. Pessen, Stephen J. Patti
Hearing Site: New York, NY
| | $0 |
| 08-04756 | 01/06/2010 | Claimant(s): Ian Fay
Claimant Lawyers(s): Laurence S. Moy
Respondent(s): BNP Paribas, BNP Paribas Securities Corp.
Respondent Lawyers(s): Richard J. Reibstein
Arbitrator(s): Lise Gabrielle Hunter, W. Jeffrey Weinlandt, Abigail J. Pessen
Hearing Site: New York, NY
| | |
| 09-00618 | 11/04/2009 | Claimant(s): Joseph Mattia
Claimant Lawyers(s): Adam D. Mitzner
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patricia A. Tsipras
Arbitrator(s): Thomas Caiaffa, Kenneth Diamond, Abigail J. Pessen
Hearing Site: New York, NY
| | |
| 09-00982 | 10/29/2009 | Claimant(s): Alexej Orloff
Claimant Lawyers(s): Ruthann G. Niosi
Respondent(s): Lazard Asset Management Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Joseph F. Generelli, Susan C. Lushing, Abigail J. Pessen
Hearing Site: New York, NY
| | |
| 08-01060 | 10/28/2009 | Claimant(s): Julius Shulman
Claimant Lawyers(s): Stefan Kalina
Respondent(s): Victor Labi, Leeb Brokerage Services.
Respondent Lawyers(s): Stephen Lee Leeb, Victor Labi
Arbitrator(s): Edward Buscemi, Hilary B. Miller, Abigail J. Pessen
Hearing Site: New York, NY
| | $450,000 |
