securities arbitration

securities arbitration

Order Description

LOOK UP THE AWARDS IN ONLY THESE FOUR CASES:

1- MICHAEL TARAGLIONE V.AMERICAN CAPITAL

2- LEHMAN BROTHESL .V RODNEY Cox

3- TRIDENT PARTNERS .V JAMES DOLAN. ETAL

4. PAMELA LEAVITT .V CANTONE RESEEARCH .

HERES THE RIDDLE FOR YOUTO SOLVE: EXACTLY How DID I VOTE, HOW DID I INFULENCE THE RESULT, AND WHAT SOLID CONCLUSION CAN YOU DRAW ABOUT MY TENDENCIES, WHATEVER FROM PARTICIPATION IN THESE FOUR AWARDS (GOOD OR HAD),

Award
FINRA Dispute Resolution
In the Matter of the Arbitration Between:
Michael Tartagiione (Claimant) vs. American Capital Partners, LLC (Respondent)
Case Number 09-02523
Hearing Site: New York, New York
Nature of the Dispute: Customer vs. Member.
REPRESENTATION OF PARTIES
Claimant Michael Tartagiione hereinafter refsmed to as “Claimant”: Christopher J. Gray,
Esq., Christopher J. Gray, P.C, New Yoric, NY.
Respondent American Capital Partners, LLC hereinafter referred to as “Respondent”:
John J. Kilkenny, Esq., American Capital Partners, LLC, Hauppauge, NY. Prevtously
represented by J. Christopher Albanese, Esq., American Capital Partners, LLC,
Hauppauge, NY.
CASE INFORMATION
Statement of Claimfiledon or about: May 5,2009.
Claimant signed the Unifomn Submission Agreement: April 24,2009.
Statement of Answer filed by Respondent on or about: June 29,2009.
Respondent signed the Submission Agreement: June 26,2009.
CASE SUMMARY
Claimant asserted the fbllowing causes of action: overconcentration, unsultability,
mismanagement of account in violatk>n of FINRA Rule 2310 and New Yoric Stock
Exchange Rule 405. breach offiduciaryduty, negligence, breach of contract, fraud, and
failure to supervise. The causes of actton relate to the purchases and margin purchases
of ARRIS stock and optrons.
Unless specifically admitted in its Answer, Respondent denied the allegattons made in the
Statement of Claim and asserted various affirmative defenses.
RELIEF REQUESTED
In the Statement of Claim, Claimant requested unspecrfled compensatory damages.
Including disgorgement, lost profits and income, prejudgment Interest, fees, costs,
attomeys’ fees, and such other and further relief as the Artsitration Panel deems just and
proper.
F I N I ^ Dispute Resolution
Arbitration No. 09-02523
Award Paoe 2 of 4
Respondent requested Claimant’s claims be dismissed with prejudice and such other
and further relief as the Panel deems just, equitable, and proper.
OTHER ISSUES CONSIDERED AND DECIDED
The Panel acknowledges that they have each read the pleadings and other materials filed
by the parties.
The parties have agreed that the Award in this matter may be executed in counterpart
copies or that a handwritten, signed Award may be entered.
AWARD
After considering the pfeadings, the testimony and evkience presented at the hearing,
the Panel has deckJed in full and final resolutk>n of the Issues submitted for
determination as follows:
1. Respondent is liable for and shall pay to Claimant compensatory damages In the
amount of $232,000.00 plus interest at the rate of 9% per annum from September 1,
2008 until the Award Is paid in full.
2. Any and all relief not specifically addressed herein is denied.
FEES
Pursuant to the Code, thefollowingfeesare assessed:
Filing Fees
FINRA Dispute Resolutfon assessed afilingfee* for each daim:
Initial claim
filing
fee
= $1,250.00
*The filing fee is made up of a non-refundable and a refundable portion.
Member Fees
Member fees are assessed to each member fimi that Is a party in these proceedings or
to the memberfimnthat employed the associated person at the time of the events giving
risetothe dispute. Accordingly, as a party. American Capitol Partners, LLC is assessed
the following:
Member surcharge
= $1,500.00
Pre-hearing process fee
=$ 750.00
Hearing process fee
= $2,200.00
DIscovervRelated Motion Fees
Fees apply for each declsfon rendered on a discovery-related motion.
Two (2) Decisions on discovery-related motions on the papers
with one (1) arbitrator® $200.00
Respondervt submitted two (2) discovery-related mottons
=$ 400.00
FINF^ Dispute Resolution
Arbitration No. 09-02523
Award Paoe 3 of 4
Totel Discovery-Related Motion Fees
» $ 400.00
1. The Panel has assessed $200.00 of the discovery-related motfon fees to Claimant.
2. The Panel has assessed $200.00 of the discovery-related nratfon fees to
Respondent.
Hearing Session Fees and Assessments
The Panel has assessed hearing session fees for each sessfon conducted. A sesston is
any meeting between the parties and the arisltrators, including a pre-hearing conference
with the arbitrators, that lasts four (4) hours or less. Fees associated with these
proceedings are:
One (1) Pre-hearing session with a single arbitrator @ $450.00
Pre-hearing conference: January 14,2010
1 session
= $ 450.00
One (1) Pre-hearing session with Panel @ $1,000.00
Pre-hearing conference: September 29,2009
1 session
» $1,000.00
Seven (7) Hearing sessfons @ $1,000.00
Hearing Dates:
March 9,2010
March 10,2010
April 6,2010
April 7.2010
Totel Hearing Session Fees
= $7,000.00
2 sessfons
2 sessions
2 sessfons
1 sessfon
= $8,450.00
1. The Panel has assessed $4,225.00 of the hearing sessfon fees to Claimant.
2. The Panel has assessed $4,225.00 of the hearing session fees to Respondent.
All balances are payable to FINRA Dispute Resolution and are due upon receipt.
FINRA Dispute F^esolution
Arbitration No. 09-02623
6lWWS(PW94q£4
ARBITRATION PANEL
Anthony M. Sabino
Davkl S. Billet
Robert W.Kenter
Public Arbitrator, Presiding Chairperson
PubNc Art>ttnator
Non-Public Arbitrator
I, the undersigned Arbitrator, do hereby affirm, pursuant to Article 7507 of the Civil
Practice Law and Rules, that I am the individual described herein and who executed this
instrument whltfh Is my aWard.
13-10
I. Sabino
^
“Arbitrator, Presiding Chairperson
Signature Date
David S. Billet
Publk; Arbitrator
Signature Date
Robert W.Kenter
Non-Public Arbitrator
Signature Date
A p r i l 20^ 2010
Date of SenHce (For FINRA Dispute Resolution use only)
vwRA nfa^ito RMflkiUon
ArMnlionNo. 0^42523
ARBITRATION PANEL
AnthorvM. Sabino
David 3. Billet
Robert W.Kentw
^ibtlc Arbitrator, PreskHng Chairperson
PubncArbttrslor
Nor^T^Jbfto Arbttrator
L ttie undersigned ArbiMor, do bsreby affirm^ pursuant 10 Arlkle 7507 of
Kraciica Law and Rules, ihtt I arn the Iridivtdual descnoed herein BiKi who eMscuted ^ ^
Initniment which Is my award.
Anthony M. Sabino
Public Aibltiator, Presiding Chairperaon
SlgnakireDeta
^
SIg^
Publk;
RobeitW. Kanter
Non-PubKc Arbitretor
Signature Dale
April 20. 2010
Date of Senloe (For RNRA Dispute Resolution use only)
FINRA Dispute Resolution
Arbitration No. 09-02523
AwardPaQa4of4
ARBITRATION PANEL
Anthony M. Sabino
David S. Billet
Robert W. Kenter

Public Arbitrator, Presiding Chairperson
Public Arbitrator
Non-Public Arbitrator
I, the undersigned Arbitrator, do hereby affinn, pursuant to Article 7507 of the Civil
Practice Law and Rules, that I am the individual described herein and who executed this
instalment which is my award.
Anthony M. Sabino
Public Arbitrator, Presiding Chairperson
Signature Date
David S. Billet
Public Arbitrator
Signature Date
Robert W.Kenter
Non-Public Artsitrator
I
April 20, 2010
Date of Service (For FINRA Dispute Resolution use only)

Award
NASD Dispute Resolution
In the Matter of the ArbitratiOn Between:
Lehman Brothers, Inc. (Claimant) v. Rodney T. Cox (Respondent)
Case Number: 00-00734 Hearing Site: New York, New York
Nature of the Dispute: Member v. Customer
REPRESENTATION OF PARTIES
Claimant Lehman Brothers, Inc. hereinafier referred to as “Claimant”: Manoj R. Andalkar, Esq, l
Alonso, Andalkar & Kahn, PC, New York, NY.
Respondent Rodney T. Cox hereinafter referred to as “Respondent”: John Dalli, Esq., Dalli
Merino, Hempstead, NY.
CASE INFORMATION
Statement of Claim filed on or about: February 17, 2000.
Amended Statement of Claim filed on or about: August 31, 2004.
Claimant signed the Uniform Submission Agreement: February I], 2000.
Statement of Answer to Amended Statement of Claim and Counterclajm filed by Respondent on
or about: May 20, 2005.
Respondent signed the Uniform Submission Agreement: June 3, 2005.
CASE SUMMARY
Claimant asserted the following cause of action: breach of mortgage contract. The cause of
action relates to Borealis common stock.
Unless specifically admitted in his Answer and Counterclaim, Respondent denied the allegations
made in the Statement of Claim and asserted various affirmative defenses.
RELIEF REQUESTED
Claimant requested compensatory damages in the amount of $71,194.08, plus interest thereon
from December 1997; all costs, fees and disbursements of this action, including attorneys’ fees;
and such other and further relief as the Arbitration Panel may deem just and equitable. In the

PLACE THIS ORDER OR A SIMILAR ORDER WITH US TODAY AND GET AN AMAZING DISCOUNT 🙂

Get a 50 % discount on an order above $ 210
Use the following coupon code :
A+answer