| 17-01017 | 09/01/2017 | Claimant(s): The Vertical Group
Claimant Lawyers(s): Robert Schaffer
Respondent(s): Raphael Hochberg
Respondent Lawyers(s): Raphael Derek Hochberg
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
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| 16-03259 | 08/29/2017 | Claimant(s): Paul Stawinski
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors, The Equitable Life Assurance Society Of
Respondent Lawyers(s): Cheryl Howard
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
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| 16-02019 | 08/25/2017 | Claimant(s): Laidlaw & Company (uk) Ltd.
Claimant Lawyers(s): Ross D Carmel
Respondent(s): Marc Reda
Respondent Lawyers(s): Marc Augustus Reda
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
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| 16-00911 | 08/23/2017 | Claimant(s): Stacy Marcus
Claimant Lawyers(s): Alexander H. Gardner
Respondent(s): Heron Financial Group LLC
Respondent Lawyers(s): Joseph Sullivan
Arbitrator(s): Howard L. Sobel, Mary Lou McGanney, Ronald Leven
Hearing Site: New York, NY
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| 17-00436 | 08/22/2017 | Claimant(s): Adam Greenstein
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Park Avenue Securities LLC
Respondent Lawyers(s): Kristin Wynne
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
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| 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
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| 16-01299 | 08/21/2017 | Claimant(s): Harvey Lambert, Lisa Lambert
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Kenneth Diamond, Sandra Gale Behrle, Ivan W. Harper
Hearing Site: New York, NY
|  | $0 |
| 17-00306 | 08/15/2017 | Claimant(s): David Rosenberg
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
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| 16-00079 | 08/10/2017 | Claimant(s): Estate of Louis J. Levy
Claimant Lawyers(s): Richard J. Sillman
Respondent(s): Morgan Stanley & Co., Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Evonne W.J. Tolbert, John F. Duane, Brooks White
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 17-00845 | 08/09/2017 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Beverly Jo Slaughter
Respondent(s): Anthony Della Vecchia
Respondent Lawyers(s): Anthony Della Vecchia
Arbitrator(s): Cynthia A. DiMarco
Hearing Site: New York, NY
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