| 19-00262 | 07/11/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Roy Cederfranco
Respondent Lawyers(s): Roy CederFranco
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
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| 17-01716 | 03/25/2019 | Claimant(s): Windsor Street Capital
Claimant Lawyers(s): David A. Schrader
Respondent(s): Barry Jin, Brent Porges, Charles Giaimo, David Sheppard, Joseph Valenti, Matthew Deblois, Matthew Siliato, Maxwell Delaney, Michael LaVolpe, William Leonard
Respondent Lawyers(s): Barry Jin, Brent Morgan Porges, Charles Evan Giaimo, David Leonard Sheppard, M. David Sayid, Matthew Angelo Siliato, Matthew Charles Deblois, Maxwell Topper Delaney, Michael Scott LaVolpe, William McCabe Leonard
Arbitrator(s): Ann C. Northern, Sanford S. Stevens, Donald Nevin Gershuny
Hearing Site: New York, NY
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| 18-01181 | 10/23/2018 | Claimant(s): Eric Diton
Claimant Lawyers(s): Amy B. Bard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
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| 18-00448 | 08/20/2018 | Claimant(s): Robert Rothman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Daniel White
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
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| 17-02224 | 05/17/2018 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Mark Schrader
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
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| 15-02217 | 03/08/2017 | Claimant(s): Lynda Chervil
Claimant Lawyers(s): Lynda Chervil
Respondent(s): David Prendergast, Matthew Winter, Vincent Fusco, Wilford Kavanaugh, Allstate Financial Services
Respondent Lawyers(s): J. Scott Humphrey
Arbitrator(s): Sanford S. Stevens, A. Rene Hollyer, Kim Daly Kelly
Hearing Site: New York, NY
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| 15-00516 | 10/28/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jamie L. Helman
Respondent(s): Scott Fox
Respondent Lawyers(s): Scott Fox
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
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| 15-00486 | 07/24/2015 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Coren Stern
Respondent(s): Jerrid Douglas
Respondent Lawyers(s): Jerrid Jemal Douglas
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
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| 13-02629 | 10/13/2014 | Claimant(s): Robert Tarlowe, Stuart Tarlowe
Claimant Lawyers(s): Robert Lewis Tarlowe, Stuart Alan Tarlowe
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Willard Knox
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
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| 14-01388 | 10/03/2014 | Claimant(s): Joseph Gomes
Claimant Lawyers(s): Joseph Gomes
Respondent(s): Andrew Garrett Inc.
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): Sanford S. Stevens
Hearing Site: Albany, NY
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