He is an outspoken critic of ineffective regulation and an advocate for economic and political sanity. Online FINRA. In situations where two parties each have claims against the... Read On, In Gabriel Garcia Marquez's "Love in the Time of Cholera," young Florentino and Fermina fall in love, but Fermina's father isn't a big fan of his... Read On, Some BrokeAndBroker.com Blog readers have inquired as to what's happened to the BrokeAndBroker.com Blog in recent days. In framing Petitioners' appeal, SDNY offers the following: In presenting their appeal to SDNY, the Petitioners complained that the FINRA Arbitration Panel had allowed Ackerman to introduce belated damages calculations pertaining to transactions for which he claimed he had not been paid or underpaid. Filing 24 OPINION AND ORDER re: 22 MOTION to Amend/Correct Petition to Vacate Arbitration Award filed by Mathew Van Alstyne, Evan Schwartzberg, Odeon Capital Group, LLC, 6 CROSS MOTION to Confirm Arbitration Award. Allenby specializes in real estate debt investments, equity investments and brokerage. Today's BrokeAndBroker.com Blog is a smorgasbord. New York, NY 10022. … The initial filling date is August 28, 2015. New Hire at Odeon Capital Group. (Signed by Judge Jed S. Rakoff on 1/20/2016) (kko) (Entered: 01/20/2016), AMENDED NOTICE OF REMOVAL against Odeon Capital Group, LLC, Evan Schwartzberg, Mathew Van Alstyne; amending 1 Notice of Removal,,.Document filed by Bret Ackerman. Mat has 14 years of industry experience. Singer was formerly Chief Counsel to the Financial Industry Association; General Counsel to the NASD Dissidents' Grassroots Movement; and General Counsel to the Independent Broker-Dealer Association. Ya got FINRA in its role as a self-regulatory organization.
Mathew Van Alstyne is a co-founder of Allenby. Did the former bond trader commit perjury when answering questions during his arbitration about FINRA's regulatory investigation -- or did Claimant accurately disclose what he knew when he knew it? (Aloe, Paul) (Entered: 01/13/2016), NOTICE OF REMOVAL from Supreme Court, County of New York. Ya got FINRA in its role as an arbitration forum. Federal Civil Lawsuit New York Southern District Court, In more colloquial terms, the Petitioners argued that Ackerman bushwhacked them and the arbitrators were complicit by sandbagging them when they permitted Ackerman's alleged misconduct, United States District Court for the 2Cir, 16-1545-CV 16-1717-CV, FINRA arbitration is a "private" means of alternative dispute resolution ("ADR") and, as such, the parties have every right to insist upon the confidentiality of certain facts. 750 Lexington Ave Fl 27 At the center of this arbitration, litigation and regulatory buffet is former bond trader, who partially prevailed as the Claimant in his FINRA intra-industry arbitration but, thereafter, found himself barred by FINRA after refusing to cooperate in a regulatory investigation. All Rights Reserved. Before entering the private practice of law, Singer was employed in the Legal Department of Smith Barney, Harris Upham & Co.; as a regulatory attorney with both the American Stock Exchange and the NASD (now FINRA); and as a Legal Counsel to Integrated Resources Asset Management. Michael Distenfeld is a co-founder of Allenby. (Attachments: # 1 Exhibit A - Pleadings in State Court Action (1 of 5), # 2 Exhibit A - Pleadings in State Court Action (2 of 5), # 3 Exhibit A - Pleadings in State Court Action (3 of 5), # 4 Exhibit A - Pleadings in State Court Action (4 of 5), # 5 Exhibit A - Pleadings in State Court Action (5 of 5), # 6 Exhibit B - Notice of Appearance in State Court Action)(Saponara, David) (Entered: 01/14/2016), NOTICE OF APPEARANCE by David Nicholas Saponara on behalf of Bret Ackerman. He is also a co-founder and managing partner of Odeon Capital where he heads the research department and oversees operations. SDNY denied the motion to vacate and confirmed the FINRA arbitration award.
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1:16-cv-00274 June 9, 2010 – Odeon Capital Group LLC Featured in Structured Credit Investor Article: Navigating the Post-Crisis Landscape In connection with an investigation being conducted by FINRA's Department of Market Regulation ("Market Regulation"), Ackerman refused to appear for testimony that was requested pursuant to FINRA Rule 8210.
Mathew Van Alstyne is a co-founder of Allenby. About Research Solutions Privacy Security Contact Us. Although SDNY awarded Ackerman costs, it denied the award of attorneys'' fees attendant to seeking the confirmation because the Petitioners were not found to have acted "without justification" in seeking a vacatur. The chairperson of the arbitration panel will write the explained decision and will receive an additional honorarium of $400.
Third party Trademarks, graphics, and/or content are the property of their respective owners. By entertaining Ackerman's late presentation, the Petitioners asserted that the arbitrators had prejudiced their ability to adequately respond. Odeon Capital Group, LLC et al v. Ackerman Non-Government Works Copyright © 2001-2020 Think Computer Corporation. Michael graduated from the University of Pennsylvania with a B.A. The Company offers sales and trading, brokerage, investment banking, support structure, and other financial services. Name: Phone: Fax: E-Mail: PAUL H. ALOE +1 212 868 1010 +MDL TER MINATED: paloe@kudmanlaw.com: David Nicholas Saponara +1 212 868 1010 +1 212 868 0013: dsaponara@kudmanlaw.com: In the Matter of.
He is also a co-founder and managing partner of Odeon Capital where he heads the research department and oversees operations.
Odeon Capital Group LLC, Mathew Van Alstyne, and Evan Schwartzberg, Petitioners, v. Bret Ackerman, Respondent (Opinion and Order, SDNY, 16-CIV-274, Rakoff, J., April 25, 2016).
(Saponara, David) (Entered: 01/13/2016), CIVIL COVER SHEET filed. Mathew Van Alstyne, Petitioner: Odeon Capital Group, LLC, Petitioner: v. Bret Ackerman, Respondent: Represented by Kudman Trachten LLP. (Filing Fee $ 400.00, Receipt Number 0208-11836069).Document filed by Bret Ackerman. Prepare yourself for a bumpy ride!Enter Stage Left: Ackerman The Bond TraderBy way of a brief introduction, Respondent Bret Ackerman worked as a bond trader for FINRA member firm Odeon Capital Group LLC, for about three years before he was discharged on March 10, 2014. To request information suppression, updates, or additions, contact us about this docket. District Judge Jed S. Rakoff, presiding. He has the distinction of representing witnesses during Congressional investigations. We got the arbitration on appeal to a federal circuit court. Non-Government Works Copyright © 2001-2020 Think Computer Corporation.
He is also the co-founder and managing partner of Odeon Capital where he leads the sales and trading desk. In the Matter of the FINRA Arbitration Between Bret Ackerman, Claimant, vs. Bonwick Capital Partners, LLC Odeon Capital Group LLC, Evan Schwartzberg, and Mathew Van Alstyne, Respondent (FINRA Arbitration 14-02042, November 20, 2015).
Mat graduated from the University of Utah and Texas A&M University. We got the arbitration being appealed to a federal district court. (Attachments: # 1 Exhibit A - Pleadings in State Court Action (1 of 5), # 2 Exhibit A - Pleadings in State Court Action (2 of 5), # 3 Exhibit A - Pleadings in State Court Action (3 of 5), # 4 Exhibit A - Pleadings in State Court Action (4 of 5), # 5 Exhibit B - Notice of Appearance in State Court Action)(Aloe, Paul) (Entered: 01/13/2016). Mat graduated from the University of Utah and Texas A&M University. Save 25% on a pre-paid one year subscription. Michael Distenfeld is a co-founder of Allenby. Allenby was founded by Evan Schwartzberg, Mathew Van Alstyne and Michael Distenfeld.
In the Matter of the FINRA Arbitration Between Bret Ackerman, Explained Arbitration Decisions / SEC Approves Amendments to Require Arbitrators to Provide an Explained Decision at Parties' Joint Request, Federal Court Confirms Merrill Lynch's Counterclaim Victory In Puerto Rico Bond Arbitration, Pro Se Customer Alleges Unsuitability of Self Directed Put Sales, Love In the Time of Covid Expires for SEC, Securities Industry Commentator by Bill Singer Esq. in economics. All Rights Reserved. Notwithstanding such a tacit understanding, a. For over three decades, Singer has represented clients before the American Stock Exchange, the New York Stock Exchange, the Financial Industry Regulatory Authority (formerly the NASD), the United States Securities and Exchange Commission, and in criminal investigations brought by various federal, state, and local prosecutors.
Evan graduated from the University of Michigan and has 15 years of industry experience. BILL SINGER is a lawyer who represents securities-industry firms, individual registered persons, Wall Street whistleblowers, and defrauded public investors. Odeon Capital Group LLC operates as a broker dealer.
As the various currents of this story ripple, we find ourselves amid a swirl of questions about what was known, by whom, when.
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