| 14-03759 | 04/27/2017 | Claimant(s): Steven Rakoff
Claimant Lawyers(s): Adam Gana
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Robert J. Kheel, Madelyn A. Levy, Natalie Jennifer Bordeaux
Hearing Site: New York, NY
|  | Expungement |
| 15-02116 | 04/26/2017 | Claimant(s): Michael Riffice
Claimant Lawyers(s): William B. Fleming
Respondent(s): BGC Financial, L.P.
Respondent Lawyers(s): David A. Paul
Arbitrator(s): Thomas D. Giordano, Franklin P. Chapman, Carl A. Goldman
Hearing Site: New York, NY
| | |
| 15-02589 | 04/26/2017 | Claimant(s): John Shillingford, Mark Leyton
Claimant Lawyers(s): John D. Singer
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Leslie Ruth Nydick, Louis P. Wagman, Mark Cuccaro
Hearing Site: New York, NY
| | |
| 16-02169 | 04/20/2017 | Claimant(s): Carol Cohen, Martin Cohen
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Oppenheimer & Co.., Raymond, James & Associates., Peter Marketos
Respondent Lawyers(s): Ralph T. Izzo, Robert L. Herskovits, Robert M. Rudnicki
Arbitrator(s): Annamaria Boccia Smith, Benjamin L. Anderson, Steven Hale Zousmer
Hearing Site: New York, NY
| | Expungement |
| 15-03346 | 04/17/2017 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): John Fisher
Respondent Lawyers(s): Michael Mui
Arbitrator(s): John J. Vesey
Hearing Site: New York, NY
| | |
| 16-02686 | 04/13/2017 | Claimant(s): Howard Shapiro, Iris Hahn, Marcia Shapiro
Claimant Lawyers(s): David Edgar Bamberger
Respondent(s): Ilan Preis
Respondent Lawyers(s): Ilan Nathan Preis
Arbitrator(s): David I. Goldblatt, Ellyn S. Roth, Thomas E. Mehrtens
Hearing Site: New York, NY
| | $531,165 |
| 15-02192 | 04/12/2017 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Christopher M. Rodriguez
Respondent(s): Thomas Avitabile
Respondent Lawyers(s): David P. Stich
Arbitrator(s): Irwin Kahn, David J. Pine, Keith Roberts
Hearing Site: New York, NY
| | |
| 16-02777 | 04/12/2017 | Claimant(s): Upinder Sharma
Claimant Lawyers(s): Upinder Kumar Sharma
Respondent(s): Michael Regina, Patrick Teutonico
Respondent Lawyers(s): Michael Anthony Regina, Patrick Nicholas Teutonico
Arbitrator(s): Jill I. Gross
Hearing Site: New York, NY
| | |
| 16-00807 | 04/11/2017 | Claimant(s): Laura Champine
Claimant Lawyers(s): Debra L. Raskin
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Nirav S. Shah
Arbitrator(s): Alice J. P. Lee-Getman, Leona Beane, John D. Nagy
Hearing Site: New York, NY
| | |
| 15-00493 | 04/07/2017 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): Michael Jarmolowich
Respondent Lawyers(s): Michael Jarmolowich
Arbitrator(s): Bernard M. Levine
Hearing Site: New York, NY
| | |
