| 17-00229 | 01/08/2018 | Claimant(s): Philippe Damiba
Claimant Lawyers(s): Philippe Damiba
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Susan E. Harkins, Sam Antar, Ernesto V. Luzzatto
Hearing Site: New York, NY
|  | $0 |
| 17-01240 | 01/05/2018 | Claimant(s): Patrick Henry
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | |
| 16-01877 | 12/29/2017 | Claimant(s): Bright Lake Management LLC, Bright Lake LP
Claimant Lawyers(s): Ilan Preis
Respondent(s): Broadcort Capital Corporation, Jack Seibald, Merrill Lynch Pierce Fenner & Smith Inc., Michael Rosen, Robert Moore, Concept Capital Markets, Cowen Prime Services LLC, Merrill Lynch Professional Clearing Corp
Respondent Lawyers(s): Mark D. Knoll, Mark J. Hyland
Arbitrator(s): Anna M. Fanelli, Lynne M. Reid-McQueen, Richard Gee
Hearing Site: New York, NY
| | $0 |
| 17-01570 | 12/29/2017 | Claimant(s): Lina R. Williams, Peter G. Williams
Claimant Lawyers(s): Howard Meyers
Respondent(s): Thomas Sullivan, Lampert Capital Markets Inc.
Respondent Lawyers(s): James P. Donohue
Arbitrator(s): Ira S. Cure
Hearing Site: New York, NY
| | $0 |
| 17-02313 | 12/28/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Jonathan Lake
Respondent Lawyers(s): Jonathan Richard Lake
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
| 16-00002 | 12/28/2017 | Claimant(s): Pieter Van Wijk
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Carl Smith, Joseph Baldassarra, Steven Baldassarra, CJS Financial Corp.
Respondent Lawyers(s): David Feingold
Arbitrator(s): Theodor Brown, Cynthia A. DiMarco, Edmund Siejka
Hearing Site: New York, NY
| | $0 |
| 16-03371 | 12/22/2017 | Claimant(s): Fillip Gershon
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): David John Reilly
Hearing Site: New York, NY
| | |
| 15-02701 | 12/20/2017 | Claimant(s): Robert Cummings
Claimant Lawyers(s): Jonathan Sack
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Richard W. Vallario, Richard Bryce Nesson, Albert Rizzo
Hearing Site: New York, NY
| | |
| 16-03204 | 12/20/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Dudley Stephens
Respondent Lawyers(s): Dudley Franklin Stephens
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
| | |
| 16-03728 | 12/18/2017 | Claimant(s): Stonehaven
Claimant Lawyers(s): Roger E. Barton
Respondent(s): Seer Capital Management
Respondent Lawyers(s): Robert Knuts
Arbitrator(s): Joseph I. Liebman, Sandra Holtzman, Paul M. Friedman
Hearing Site: New York, NY
| | $0 |
