| 11-04017 | 05/22/2012 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): James E. Siegel
Respondent(s): Thomas Tartaglia
Respondent Lawyers(s): Thomas Lewis Tartaglia
Arbitrator(s): Michael H. DuBoff, Arnold Wagner, Murray Cwass
Hearing Site: New York, NY
| | |
| 09-03961 | 05/25/2011 | Claimant(s): Howard Wilkov, The Wilkov Family Limited Partnership
Claimant Lawyers(s): Samuel L. Butt
Respondent(s): Ameriprise Financial Services., Jennifer Wilkov
Respondent Lawyers(s): Eric R. Breslin, Michael J. Zaretsky
Arbitrator(s): Robert Youdelman, Arnold Wagner, Herman Taub
Hearing Site: New York, NY
|  | $501,200 |
| 09-07176 | 08/06/2010 | Claimant(s): Bruno Weber
Claimant Lawyers(s): Magdalena Flunger
Respondent(s): Brian Schkeryantz, JB Oxford & Company
Respondent Lawyers(s): Brian M. Schkeryantz, President or Compliance Officer
Arbitrator(s): Arnold Wagner
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 09-06046 | 05/24/2010 | Claimant(s): Mon Chu
Claimant Lawyers(s): Kevin Conway
Respondent(s): A. B. Watley Direct.
Respondent Lawyers(s): Ralph Armenti
Arbitrator(s): Arnold Wagner
Hearing Site: New York, NY
| | $25,000 |
| 08-03749 | 03/05/2010 | Claimant(s): Gilbert Millstein
Claimant Lawyers(s): Michael A. Korn
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Romaine L. Gardner, Arnold Wagner, Tibor C. Klein
Hearing Site: New York, NY
| | |
| 09-03304 | 12/02/2009 | Claimant(s): Michael & Nancy DeSimone
Claimant Lawyers(s): Michael G. DeSimone
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin K. Fair
Arbitrator(s): Arnold Wagner
Hearing Site: New York, NY
| | $75 |
| 08-04541 | 10/12/2009 | Claimant(s): Costa Tzotzis, Darin Haines, Prestige Financial Center.
Claimant Lawyers(s): Brian Reis
Respondent(s): Niles Management Leasing Corp.
Respondent Lawyers(s): Karl Azai
Arbitrator(s): Arnold Wagner
Hearing Site: New York, NY
| | $0 |
| 08-01045 | 07/29/2009 | Claimant(s): James Ritter, Maxim Growth Fund LP
Claimant Lawyers(s): James D. Ritter
Respondent(s): Wachovia Securities Financial Network, Eric Lyon, John Black
Respondent Lawyers(s): Marc J. Ross
Arbitrator(s): Arnold Wagner, Joseph W. Lodato, Anthony Michael Sabino
Hearing Site: New York, NY
| | $0 |
