| 10-04946 | 07/19/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): L. Andrew Brehm
Respondent(s): Eugene Flynn
Respondent Lawyers(s): Hyman Silverglad
Arbitrator(s): Charles P. Axelrod, Howard Breindel, Deborah A. Shapiro
Hearing Site: New York, NY
| | |
| 10-02399 | 12/03/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Julian W. Wells
Respondent(s): Richard Griffler
Respondent Lawyers(s): Richard Elliot Griffler
Arbitrator(s): Howard Breindel
Hearing Site: New York, NY
| | |
| 09-01389 | 10/29/2010 | Claimant(s): Olav Refvik
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Jennifer Barrett
Arbitrator(s): Daniel B. Berkson, Kenneth M. Felder, Howard Breindel
Hearing Site: New York, NY
| | |
| 08-00873 | 06/24/2010 | Claimant(s): Zain Abdullah
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Calyon Securities (USA) Inc
Respondent Lawyers(s): Barbara M. Roth
Arbitrator(s): Howard Breindel, Mark Mendley, Mark J. Happe
Hearing Site: New York, NY
| | |
| 08-01222 | 05/25/2010 | Claimant(s): Gary Mohamed
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Jonathan L. Isreal
Arbitrator(s): Richard W Berenger, Howard Breindel, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | |
| 06-03789 | 04/16/2009 | Claimant(s): John Gaffney
Claimant Lawyers(s): Richard A. Herman
Respondent(s): Andrew Grillo, George Batelli Jr., Citigroup Global Markets., Maribeth Robinson, Peter Liebeskind, Steven Torrico
Respondent Lawyers(s): Christopher M. Galusha, Kevin B. Walker
Arbitrator(s): Charles A. Crocco, Marguerite B. Filson, Howard Breindel
Hearing Site: Newark, NJ
| | |
