| 12-01162 | 01/06/2015 | Claimant(s): James Kibbe
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Francis X. Dee
Arbitrator(s): Richard W. Vallario, Jeffrey F. Friedman, Carole L. Green
Hearing Site: New York, NY
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| 14-02361 | 01/06/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Candius Bannister
Respondent Lawyers(s): Candius J. Bannister
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
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| 13-03554 | 01/05/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Janelle E. Fulton
Respondent(s): Robert Hirsch
Respondent Lawyers(s): Robert M. Hirsch
Arbitrator(s): Steven R. Reininger, Debra A. Jenks, Renaldy Jose Gutierrez
Hearing Site: Boca Raton, FL
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| 14-01276 | 01/05/2015 | Claimant(s): Jared Cohen
Claimant Lawyers(s): David E. Robbins
Respondent(s): David Witkowich, Nicholas Witkowich
Respondent Lawyers(s): Joseph Milano
Arbitrator(s): Jacob Aschkenasy, Alfonso G. Figliolia, Mark Charles Morril
Hearing Site: New York, NY
| | Expungement |
| 13-03333 | 01/02/2015 | Claimant(s): John Burke
Claimant Lawyers(s): Matthew W. Hackell
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Louis R. Satriale
Arbitrator(s): S. Charles Tabak
Hearing Site: Newark, NJ
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| 14-01782 | 01/02/2015 | Claimant(s): Woodstock Financial Group.
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Corey Malone
Respondent Lawyers(s): Corey Malone
Arbitrator(s): Anthony Michael Sabino
Hearing Site: New York, NY
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| 13-01020 | 12/31/2014 | Claimant(s): Mohamed Kamara
Claimant Lawyers(s): Brian Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Daniel J. McCarthy, Robert Bartels, Daniel J. Brooks
Hearing Site: New York, NY
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| 14-01242 | 12/31/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachel Carp
Respondent(s): Joshua Krieg
Respondent Lawyers(s): Joshua T. Krieg
Arbitrator(s): Paul Davis Pearlstein
Hearing Site: Washington, DC
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| 14-01863 | 12/31/2014 | Claimant(s): Stuart Siegel
Claimant Lawyers(s): Edwin B. Kagan
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Leon T. Kogan
Arbitrator(s): Brian G. Mooney
Hearing Site: Tampa, FL
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| 13-00267 | 12/30/2014 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David Belcher
Respondent(s): Timothy Trifeletti
Respondent Lawyers(s): Timothy Trifeletti
Arbitrator(s): Alan J. Blocher, Noel B. Berman, John James McGovern
Hearing Site: Philadelphia, PA
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