| 17-02587 | 09/02/2021 | Claimant(s): Richard Roe
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Joanne M.F. Wilcomes
Arbitrator(s): Thomas M. Madden, Lorrie E Whitfield, Louis Arnold Russo
Hearing Site: New York, NY
| | |
| 19-00599 | 07/23/2019 | Claimant(s): Joseph Stone Capital L.L.C.
Claimant Lawyers(s): Damian Maggio
Respondent(s): Harold Jones
Respondent Lawyers(s): Harold Steve Jones
Arbitrator(s): Lorrie E Whitfield
Hearing Site: New York, NY
| | |
| 17-00227 | 03/04/2019 | Claimant(s): Jean Innucci
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): David Wirtz
Arbitrator(s): Doris Lindbergh, Ronald Harris Kisner, Lorrie E Whitfield
Hearing Site: New York, NY
| | |
| 18-02825 | 01/11/2019 | Claimant(s): Ling Yung Wu
Claimant Lawyers(s): Abigail Snow
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Scott R. Koch
Arbitrator(s): Lorrie E Whitfield
Hearing Site: New York, NY
| | |
| 18-00440 | 09/17/2018 | Claimant(s): Costa Tzotzis
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Prestige Financial Center.
Respondent Lawyers(s): Corporate Office
Arbitrator(s): Lorrie E Whitfield
Hearing Site: New York, NY
| | |
| 17-03461 | 09/04/2018 | Claimant(s): Bi-Zheng Liu, Jason Lin
Claimant Lawyers(s): Ying Zhou
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Patrick R. Westerkamp, Lorrie E Whitfield, Christopher Scott Conner
Hearing Site: Philadelphia, PA
|  | Dismissed by Rule 12206 |
| 16-03148 | 04/09/2018 | Claimant(s): Scott Feldman, The Scott H & Janet J Feldman Rev. Trust
Claimant Lawyers(s): Michael S. Burg
Respondent(s): UBS Financial Services Inc., Michael Keane
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Jay Alan Kranis, Lorrie E Whitfield, Lorraine Marie Brennan
Hearing Site: New York, NY
| | $805,120 |
| 15-00626 | 09/01/2016 | Claimant(s): Gregory Broomer
Claimant Lawyers(s): Brittany Weiner
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Elise M. Bloom
Arbitrator(s): Michael Allen Zeiler, Gregory Hunter Mathews, Lorrie E Whitfield
Hearing Site: Philadelphia, PA
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