21-00109 | 02/22/2023 | Claimant(s): David Watkins Claimant Lawyers(s): Jeffrey L. Liddle Respondent(s): Christopher Amo, UBS Financial Services Inc. Respondent Lawyers(s): Lloyd B. Chinn Arbitrator(s): Carole R. Bernstein, Daniel Robbins, Charlane Brown 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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10-05426 | 09/23/2011 | Claimant(s): Douglas Woodham Claimant Lawyers(s): Paul T. Shoemaker Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): J. Michael Riordan Arbitrator(s): Martin L. Feinberg, Carole R. Bernstein, David Serko Hearing Site: New York, NY
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09-03087 | 12/29/2010 | Claimant(s): Marcus Ribka Claimant Lawyers(s): Maryana A. Kodner Respondent(s): SG Americas Securities Respondent Lawyers(s): Michael Delikat Arbitrator(s): Harold I. Geringer, Brian J. Burstin, Carole R. Bernstein Hearing Site: New York, NY
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07-02726 | 03/26/2009 | Claimant(s): Ridge Clearing & Outsourcing Solutions, Claimant Lawyers(s): Howard Schiffman Respondent(s): Arjent Ltd., Arjent Services LLC, Arjent Limited Respondent Lawyers(s): Andrew Goodman Arbitrator(s): Donald J. Rasweiler, Burton M. Fendelman, Carole R. Bernstein Hearing Site: New York, NY
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07-00131 | 06/20/2008 | Claimant(s): Michael Ziegelbaum Claimant Lawyers(s): Michael Burrows Respondent(s): MarkeAxess Holdings. f/k/a Martket, Marketaxess Corporation Respondent Lawyers(s): David A. Picon, Kenneth E. Aldous Arbitrator(s): Frank M. Suttell, Carole R. Bernstein, Alun Hywel Jones Hearing Site: New York, NY
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