| 21-02570 | 03/09/2022 | Claimant(s): Daniel Rosen
Claimant Lawyers(s): Daniel Rosen
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Greg M. Scanlon
Arbitrator(s): Jack Friedman
Hearing Site: Jersey City, NJ
|  | $300 |
| 21-00780 | 10/01/2021 | Claimant(s): Seamus and Ann Ryan
Claimant Lawyers(s): Seamus Ryan
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | $225 |
| 19-00474 | 03/25/2021 | Claimant(s): Alberto Nieves, Gladys Anton
Claimant Lawyers(s): Darryl J. Bouganim
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jeffrey J. Chapman
Arbitrator(s): Jack Friedman, Mary Ellen Burns, Edmund Timothy Donovan
Hearing Site: New York, NY
| | $250,000 |
| 15-01121 | 04/05/2017 | Claimant(s): V. Nicklin, Riverlife Investment Holdings LLC, Estate of Freda W. Nicklin, Franklin C. Nicklin Test,Trust FOB
Claimant Lawyers(s): Marc D. Powers
Respondent(s): C. L. King & Associates.
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Jack Friedman, Sherri L. Hughes, Josian Antoine
Hearing Site: New York, NY
| | $0 |
| 14-00584 | 11/20/2015 | Claimant(s): Nico Phillips
Claimant Lawyers(s): Nico Phillips
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Thomas E. Duggan, Jack Friedman, Sandra J. Mullings
Hearing Site: New York, NY
| | $0 |
| 13-02079 | 06/23/2015 | Claimant(s): Muriel Sturm
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Christopher J. Scanlon
Arbitrator(s): Romaine L. Gardner, Jack Friedman, Ellyn S. Roth
Hearing Site: New York, NY
| | $30,000 |
| 14-02289 | 06/01/2015 | Claimant(s): Oscar Starker, Powernet.
Claimant Lawyers(s): Oscar Starker
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | $0 |
| 12-00528 | 04/25/2013 | Claimant(s): Donald Kress, Patricia Kress
Claimant Lawyers(s): Michael Hanson
Respondent(s): John Orlando, Sterne Agee Financial Services.
Respondent Lawyers(s): David Feingold
Arbitrator(s): Jack Friedman, David J. Weisenfeld, Nicholas C. George
Hearing Site: New York, NY
| | $0 |
| 10-05167 | 03/27/2012 | Claimant(s): Carmine Aufiero, Claudia Aufiero
Claimant Lawyers(s): Carole R. Bernstein
Respondent(s): Chester Payne, Hayes Brown, Jennifer Holloman, Triad Advisors.
Respondent Lawyers(s): Hayes Samuel Brown, Jennifer Anne Holloman, Mark J. Astarita
Arbitrator(s): Jack Friedman, John A. Astorina, Madelon M. Rosenfeld
Hearing Site: New York, NY
| | $250,300 |
| 11-00878 | 09/16/2011 | Claimant(s): The Pola Gefen Trust
Claimant Lawyers(s): Milton R. Gleit
Respondent(s): Steven Klein
Respondent Lawyers(s): Steven Douglas Klein
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | $1,585,520 |
