| 15-01778 | 05/06/2016 | Claimant(s): Peter Klein
Claimant Lawyers(s): David J. Butler
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Edward Baer, William G. Binckes, Howard L. Sobel
Hearing Site: New York, NY
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| 15-00395 | 05/04/2016 | Claimant(s): Swapnil Rege
Claimant Lawyers(s): Ethan Brecher
Respondent(s): Nomura Securities International.
Respondent Lawyers(s): Daniel S. Cahill
Arbitrator(s): Howard L. Sobel, Anna M. Fanelli, Paul George Huck
Hearing Site: New York, NY
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| 14-01929 | 08/24/2015 | Claimant(s): Saagar Gupta
Claimant Lawyers(s): Daniel E. Rhynhart
Respondent(s): HAP Trading
Respondent Lawyers(s): Ira Lee Sorkin
Arbitrator(s): Daniel B. Berkson, Howard L. Sobel, Linda J. Baer
Hearing Site: New York, NY
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| 13-01895 | 09/24/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Evan Sall
Respondent Lawyers(s): Michael Kalmus
Arbitrator(s): David E. Robbins, Howard L. Sobel, Carole R. Bernstein
Hearing Site: New York, NY
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| 12-04283 | 02/25/2014 | Claimant(s): Benjamin Ramsey
Claimant Lawyers(s): Leonard Benowich
Respondent(s): Laurence Allen, ACP Investment Group, Nyppex
Respondent Lawyers(s): Daniel L. Schwartz
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
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| 11-01476 | 05/08/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Megan M. Christensen
Respondent(s): Michael Boylan
Respondent Lawyers(s): Michael Boylan
Arbitrator(s): Charles L. Henderson, Howard L. Sobel, Veera V. Konka
Hearing Site: New York, NY
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| 10-00037 | 11/20/2012 | Claimant(s): Elizabeth Jones, Susan Simon
Claimant Lawyers(s): Willard Knox
Respondent(s): Walnut Street Securities.
Respondent Lawyers(s): Kevin J. Smith
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
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| 10-00221 | 05/09/2012 | Claimant(s): Charles Baltic
Claimant Lawyers(s): Charlotte Houghteling
Respondent(s): CRT Capital Group LLC
Respondent Lawyers(s): Myles K. Bartley
Arbitrator(s): John B. Morgan, Howard L. Sobel, Seymour Stanton
Hearing Site: New York, NY
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| 09-00886 | 10/07/2009 | Claimant(s): Douglas Lee
Claimant Lawyers(s): Anthony Carabba
Respondent(s): James Bovino, Trinity Trading Corp
Respondent Lawyers(s): Barbara Gettenberg, James Joseph Bovino
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
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| 09-02524 | 09/29/2009 | Claimant(s): Susan Mohr Gomez
Claimant Lawyers(s): Kenneth V. Gomez
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Robert J. Eide
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
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