23-02172 | 08/19/2024 | Claimant(s): Neil Engel Claimant Lawyers(s): Lars Soreide Respondent(s): Citigroup Global Markets., Thomas Tibaldi Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Mary Julia O'Connell Hearing Site: New York, NY
| | Expungement |
23-01145 | 03/28/2024 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Jonathan D. Berg Respondent(s): Abraham Bichler Respondent Lawyers(s): Abraham Yitzchak Bichler Arbitrator(s): Eva H. Posman, Mary Julia O'Connell, Joanne Sari Feld Hearing Site: New York, NY
| | $0 |
22-02707 | 06/16/2023 | Claimant(s): Diane Civetta Claimant Lawyers(s): Diane Civetta Respondent(s): Anthony Hollenbeck, E*Trade Securities LLC, Michael Evans Respondent Lawyers(s): John Bersin Arbitrator(s): Mary Julia O'Connell Hearing Site: New York, NY
| | $300 |
19-02173 | 11/14/2022 | Claimant(s): Daniel Wallace Claimant Lawyers(s): Alan Rosca Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Michael M. Rosensaft Arbitrator(s): Mary Julia O'Connell, David John Reilly, Eric Goldman Hearing Site: New York, NY
| | $0 |
21-00893 | 10/07/2021 | Claimant(s): Brian Matthews Claimant Lawyers(s): Brian A. Matthews Respondent(s): Morgan Stanley, Timothy Golier Respondent Lawyers(s): Irisa Chen Arbitrator(s): Mary Julia O'Connell Hearing Site: New York, NY
| | $300 |
20-03698 | 08/06/2021 | Claimant(s): Tobias Lenza Claimant Lawyers(s): Anthony A. Lenza Respondent(s): TD Ameritrade Clearing., TD Ameritrade. Respondent Lawyers(s): David S. Richan Arbitrator(s): Mary Julia O'Connell, Hashim Ghadiali, John Warner Lowe Hearing Site: New York, NY
| | $0 |
13-03605 | 07/07/2017 | Claimant(s): Gregory Cohen Claimant Lawyers(s): Adam J. Weinstein Respondent(s): Baris Dincer, Daniel Mendoza, Francine Lanaia, Joseph Amato, RBC Capital Markets LLC, Alexander Capital, L.P. Respondent Lawyers(s): Baris Dincer, Daniel Manuel Mendoza, Francine Ann Lanaia, Frank J. Cuccio, Scott Holcomb Arbitrator(s): William E. Nuckel, Christine Moore, Mary Julia O'Connell Hearing Site: New York, NY
| | $0 |
15-02115 | 05/17/2016 | Claimant(s): Moussa Sarwa, Touneh Sarwa Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Tracey Salmon-Smith Arbitrator(s): Betty Chen, Stephen M. Schaedtler, Mary Julia O'Connell Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
13-01540 | 09/26/2014 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): David G. Smitham Respondent(s): Brendon Lyden, Mark Ginsberg Respondent Lawyers(s): Brendon John Lyden, Loretta M. Gastwirth Arbitrator(s): Vincent C. Pangia, Thomas Michael Gandolfo, Mary Julia O'Connell Hearing Site: New York, NY
| | $0 |