| 15-01681 | 05/11/2017 | Claimant(s): Lorraine Bonifazio
Claimant Lawyers(s): Anthony Varbero
Respondent(s): Bruce Guarino, Carl Antaki, Rockwell Global Capital LLC
Respondent Lawyers(s): Carl G. Antaki, Robert Bursky
Arbitrator(s): Renee La Verne Ross CFP, R. Peyton Gibson
Hearing Site: New York, NY
|  | Stipulated Award |
| 16-00381 | 05/11/2017 | Claimant(s): Mark Bell
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Bertrand M. Lanchner, Stephen A. Weiner, Marion F. Posner
Hearing Site: New York, NY
| | $0 |
| 16-01768 | 05/10/2017 | Claimant(s): Richard Kenny
Claimant Lawyers(s): Brian Kennedy
Respondent(s): BBVA Securities Inc.
Respondent Lawyers(s): M. Lee Johnsey
Arbitrator(s): Annamaria Boccia Smith, Edward Farrelly Smith, William James Cortellessa
Hearing Site: New York, NY
| | |
| 17-00204 | 05/10/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Thomas Fayad
Respondent Lawyers(s): Thomas M. Fayad
Arbitrator(s): Mary P. Bass
Hearing Site: New York, NY
| | |
| 16-01375 | 05/08/2017 | Claimant(s): Todd Brown
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Scott R. Koch
Arbitrator(s): Roger J. Hawke, Ellyn S. Roth, Peter McClellan Wright
Hearing Site: New York, NY
| | |
| 16-02107 | 05/05/2017 | Claimant(s): Velma Lockley
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 16-00133 | 05/04/2017 | Claimant(s): Lawrence Karp
Claimant Lawyers(s): David N. Mair
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Joseph I. Liebman, Michael Ritner Weaver, Brooks White
Hearing Site: New York, NY
| | |
| 16-00726 | 05/04/2017 | Claimant(s): Jedd Levine, Jon Burrows, Joseph Lucchese
Claimant Lawyers(s): Julie E. Ravis
Respondent(s): Divine Capital Markets LLC
Respondent Lawyers(s): Barry Bordetsky
Arbitrator(s): Keely D. Parr, Ellyn S. Roth, Matthew Megally
Hearing Site: New York, NY
| | |
| 15-00937 | 05/03/2017 | Claimant(s): Cor Clearing LLC
Claimant Lawyers(s): Lawrence Ecoff
Respondent(s): Oppenheimerfunds Distributor.
Respondent Lawyers(s): Michael S. Doluisio
Arbitrator(s): Daniel B. Berkson, Domitilia M. dos Santos, Donald Raymond McNally
Hearing Site: New York, NY
| | |
| 16-02977 | 05/02/2017 | Claimant(s): Paul Boriello
Claimant Lawyers(s): Paul Boriello
Respondent(s): First Montauk Securities Corp.
Respondent Lawyers(s): Sarah Klein
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
| | $0 |
