| 16-01275 | 04/07/2017 | Claimant(s): Daniel Rubenstein
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Pamela H. Roderick, Ira A. Auerbach, Nicholas M. Herubin
Hearing Site: New York, NY
|  | Expungement |
| 15-01121 | 04/05/2017 | Claimant(s): V. Nicklin, Riverlife Investment Holdings LLC, Estate of Freda W. Nicklin, Franklin C. Nicklin Test,Trust FOB
Claimant Lawyers(s): Marc D. Powers
Respondent(s): C. L. King & Associates.
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Jack Friedman, Sherri L. Hughes, Josian Antoine
Hearing Site: New York, NY
| | $0 |
| 16-02105 | 03/31/2017 | Claimant(s): A. Savitt
Claimant Lawyers(s): A. Robin Savitt
Respondent(s): Thomas Connors
Respondent Lawyers(s): Thomas Edmund Connors
Arbitrator(s): Michael H. DuBoff
Hearing Site: New York, NY
| | Expungement |
| 16-03042 | 03/27/2017 | Claimant(s): Eric Stubbs
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities, RBC Capital Markets LLC
Respondent Lawyers(s): Eugene Small, Patrick Howley
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | |
| 16-02936 | 03/24/2017 | Claimant(s): Christopher Vasquez
Claimant Lawyers(s): Christopher Vasquez
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Sam Antar, John Nino Brenkovich, Regina Irena Arnold Mullen
Hearing Site: New York, NY
| | |
| 16-00095 | 03/23/2017 | Claimant(s): Christopher Rice
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Andrew Lavenziano, Shane Melito, Upinder Sharma
Respondent Lawyers(s): Andrew C. Lavenziano, Matin P. Unger, Upinder Kumar Sharma
Arbitrator(s): Camille S. Cooper, David A. Schwarz, Robert Elliot Harrison
Hearing Site: New York, NY
| | $0 |
| 16-01442 | 03/21/2017 | Claimant(s): Alice Hedberg
Claimant Lawyers(s): Alice L. Hedberg
Respondent(s): Torsten Holmes, Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Pamela H. Roderick, Anthony Michael Sabino, Lisa Catalano
Hearing Site: New York, NY
| | $0 |
| 15-01514 | 03/17/2017 | Claimant(s): Robert Ehrenspeck
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Derek Schure, Mark Melnick, Lightspeed Trading
Respondent Lawyers(s): James L. Kopecky, Robert M. Bursky
Arbitrator(s): Alice J. P. Lee-Getman, Edward W. Morris, Brian John Gallagher
Hearing Site: New York, NY
| | $0 |
| 16-00411 | 03/16/2017 | Claimant(s): Brian Doherty
Claimant Lawyers(s): Christine A. Palmieri
Respondent(s): BGC Financial, L.P.
Respondent Lawyers(s): Emily L. Milligan
Arbitrator(s): Irwin Kahn, Christine Costigan, Carol Maria Luttati
Hearing Site: New York, NY
| | |
| 16-02478 | 03/16/2017 | Claimant(s): Ramnarain Jaigobind
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): John Hitchings
Arbitrator(s): Jeffrey F. Friedman, Sam Antar, Anna Lascar
Hearing Site: New York, NY
| | |
