| 16-01147 | 11/30/2017 | Claimant(s): Kulruedee Wongpakdee, Steven Hoffner
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Jack Seibald, Michael Rosen, Wayne Geffen, Burnham Securities Inc., Cowen Prime Services LLC, Concept Capital Markets LLC
Respondent Lawyers(s): John Burnham, Jordan D. Becker, Mark J. Hyland
Arbitrator(s): Cynthia A. DiMarco, Lynne M. Reid-McQueen
Hearing Site: New York, NY
|  | Expungement |
| 16-03496 | 08/21/2017 | Claimant(s): Charles Day
Claimant Lawyers(s): Amy B. Bard
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | |
| 13-00917 | 03/09/2016 | Claimant(s): Jiu Zhang
Claimant Lawyers(s): Stephen A. Katz
Respondent(s): George Carris, Brockington Securities., John Carris Investments LLC
Respondent Lawyers(s): George Carris, Robert Delvecchio
Arbitrator(s): Evdokia Sofos, Lynne M. Reid-McQueen, Alejandro Miguel Garro
Hearing Site: New York, NY
| | $0 |
| 13-03223 | 02/05/2016 | Claimant(s): Nwakerendu Uche
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): George Sommerfeld, Lynne M. Reid-McQueen, Edward W. Morris
Hearing Site: New York, NY
| | |
| 13-03115 | 01/30/2015 | Claimant(s): Barry Mankowitz, Barry J. Mankowitz, M.D. IRA
Claimant Lawyers(s): Edward A. Paltzik
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Lynne M. Reid-McQueen, Mary Lou McGanney, Louis P. Wagman
Hearing Site: New York, NY
| | $202,961 |
| 14-01082 | 10/03/2014 | Claimant(s): Jean Boisnier
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | $213 |
| 12-03730 | 12/27/2013 | Claimant(s): Hana Friedman
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Rocco Papandrea
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Sandra D. Parker, Lynne M. Reid-McQueen, Michael Jaffe
Hearing Site: New York, NY
| | Expungement |
| 11-01126 | 06/12/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D Weinreich
Respondent(s): Edgar Ramirez, Rene Joliot, Romel Rodriguez
Respondent Lawyers(s): Margaret E. Peper
Arbitrator(s): Barbara J. Glenns, Romaine L. Gardner, Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | |
| 10-01016 | 04/18/2011 | Claimant(s): Richard Turnbull
Claimant Lawyers(s): Laurence S. Moy
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Michael Ross, Peter P. Skomorowsky, Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | |
| 08-04143 | 02/03/2010 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Mary Gail Gearns
Respondent(s): Vita Health of America
Respondent Lawyers(s): Ronald Feldstein
Arbitrator(s): Howard Breindel, Lynne M. Reid-McQueen, Judith C. Greene
Hearing Site: New York, NY
| | $0 |
