| 12-03702 | 02/03/2014 | Claimant(s): Vishnu Yelamanchi
Claimant Lawyers(s): Michael P. Gilmore
Respondent(s): Niyukt Bhasin, NSM Securities.
Respondent Lawyers(s): NSM Securities, Niyukt Bhasin
Arbitrator(s): Mark R. Topper, Robert J. Walter, David C. Matthews
Hearing Site: Orlando, FL
|  | $187,177 |
| 11-00325 | 08/30/2012 | Claimant(s): Martin Brookes
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Ivar Jones, Matthew Dolan, Ameritas Investment Corp.
Respondent Lawyers(s): Kavya Mohankumar
Arbitrator(s): Frank R Weaver, David R. Finch, Mark R. Topper
Hearing Site: San Francisco, CA
| | Expungement |
| 10-03885 | 06/28/2012 | Claimant(s): Jeffrey Colflesh, Lora Colflesh, Jeffrey Colflesh IRA, Lora Colflesh IRA, Colflesh Trusts
Claimant Lawyers(s): James R. Walsh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stacy Grant
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Richard L. Rubin, Jerold R. Babin, Mark R. Topper
Hearing Site: San Francisco, CA
| | Expungement |
| 11-00730 | 01/10/2012 | Claimant(s): Cliff Liang
Claimant Lawyers(s): Cliff Liang
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Mark R. Topper
Hearing Site: San Francisco, CA
| | $0 |
| 10-00950 | 10/13/2011 | Claimant(s): OC Partners Inc.
Claimant Lawyers(s): Robert Paul Travis
Respondent(s): David Tucker, RBC Dain Rauscher.
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Helen Marinak Blohm, Alexander L. Mazour, Mark R. Topper
Hearing Site: San Francisco, CA
| | $0 |
| 09-03598 | 10/07/2011 | Claimant(s): Aurum STS Aggressive Trading LLC
Claimant Lawyers(s): Jonathan Harris
Respondent(s): Atef Eltoukhy, Cowen Group., SG Americas Securities, Societe Generale, Societe Generale Warrants Limited N.V.
Respondent Lawyers(s): David M. Brodsky, Jeff G. Hammel, John C. Molluzzo, Michael C. Miller, Paul Serritella
Arbitrator(s): Darryl J. Horowitt, Mark R. Topper, Charles Eugene Markley
Hearing Site: San Francisco, CA
| | $59,900,000 |
| 09-03867 | 09/06/2011 | Claimant(s): Patricia Neel
Claimant Lawyers(s): George S. Trevor
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan-Cona
Arbitrator(s): Richard L. Rubin, Juleanne A. Thiebaut, Mark R. Topper
Hearing Site: San Francisco, CA
| | $0 |
| 09-01516 | 07/19/2011 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Ronald Blevins
Respondent Lawyers(s): Ronald Todd Blevins
Arbitrator(s): Robert E. Thompson, Mark R. Topper, James Conrad Riewerts
Hearing Site: San Francisco, CA
| | |
| 09-00171 | 06/16/2009 | Claimant(s): Nicholas Cochran
Claimant Lawyers(s): Nicholas C. Cochran
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Mark R. Topper
Hearing Site: San Francisco, CA
| | $0 |
