| 14-03406 | 06/04/2015 | Claimant(s): David Reiser, Robert Dicolo
Claimant Lawyers(s): David Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Providence, RI
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| 12-00889 | 03/13/2015 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Roger Coe
Respondent Lawyers(s): Scot Schneiderman
Arbitrator(s): Robert J. Ambrogi, Nickolas F. Monteforte, Joseph C. Tully
Hearing Site: Boston, MA
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| 14-00012 | 02/09/2015 | Claimant(s): Hazielinda Ghazali-Cho
Claimant Lawyers(s): David Glod
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Francis X. Dee
Arbitrator(s): John A. Goc, Robert J. Ambrogi, Melinda S. Milberg
Hearing Site: Boston, MA
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| 13-00845 | 05/01/2014 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Timothy Lazcano
Respondent Lawyers(s): Jeremy L. Bartell
Arbitrator(s): John B. Kinsellagh, Robert J. Ambrogi, Michael L. Letendre
Hearing Site: Boston, MA
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| 09-00524 | 11/26/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Len Weintraub
Respondent(s): Katherine Traver, RBC Capital Markets Corporation
Respondent Lawyers(s): Eric D. Brandfonbrener
Arbitrator(s): Ronald L. Cheney, Robert J. Ambrogi, Philip S. Wellman
Hearing Site: Montpelier, VT
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| 10-01049 | 04/20/2011 | Claimant(s): Steven Tamsett
Claimant Lawyers(s): Peter A. Lagorio
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Michael J McAllister
Arbitrator(s): Thomas H. Tucker, Gerald H. Powers, Robert J. Ambrogi
Hearing Site: Boston, MA
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| 09-04153 | 07/28/2010 | Claimant(s): Daniel Hanover
Claimant Lawyers(s): Laurie Alexander-Krom
Respondent(s): Cowen & Company
Respondent Lawyers(s): Lloyd S Clareman
Arbitrator(s): Robert J. Ambrogi, Thomas J. Donoghue, John Joseph Cotter
Hearing Site: Boston, MA
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