| 15-00286 | 04/12/2016 | Claimant(s): Alan Silverstein, Karen Silverstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Cutler, James S. Hazard, Ronald F. Rosner
Hearing Site: New York, NY
|  | $0 |
| 15-00372 | 04/08/2016 | Claimant(s): Ileane Scopinsky, Sheldon Scopinsky
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Leah G. Rabinowitz, Rena E. Grossfield, James S. Hazard
Hearing Site: New York, NY
| | $0 |
| 13-03293 | 05/29/2015 | Claimant(s): Mildred Rothschild, Victor Bonchek, Mildred Rothschild 2007 Trust
Claimant Lawyers(s): Peter M. Spett
Respondent(s): Aaron Heimowitz, Joseph Mangiapane, Kathleen McPherson, Newport Coast Securities.
Respondent Lawyers(s): Aaron Leonard Heimowitz, Dan Druz, Daniel Scott Furst
Arbitrator(s): Lincoln W. Craighead, James S. Hazard, Leonard P. Novello
Hearing Site: New York, NY
| | $403,162 |
| 09-00878 | 01/30/2013 | Claimant(s): US Airways.
Claimant Lawyers(s): Robert W. Henoch
Respondent(s): Oppenheimer & Co.., Vincent Woo
Respondent Lawyers(s): Suzan Jo, Thomas J. Hennessey
Arbitrator(s): Catherine I. Gulevich, James S. Hazard, Ellyn S. Roth
Hearing Site: New York, NY
| | $30,000,000 |
| 10-05233 | 07/22/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William McCourt Schmitt
Respondent(s): Gregory Costello, North Brae Capital Group.
Respondent Lawyers(s): Gregory J. Costello
Arbitrator(s): Jerome H. Levy, James S. Hazard, Howard A. Baker
Hearing Site: New York, NY
| | $0 |
| 08-04482 | 02/08/2011 | Claimant(s): Elizabeth Schaper, Estate of Armin Schaper, Estate of Ethel Schaper, IRA, Douglas Schaper Trust, Ethel Schaper Charitable Trust
Claimant Lawyers(s): Jill C. Owens
Respondent(s): Anthony D'Aquila, Citigroup Global Markets., Paul Olivo
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): Richard S. Peskin, James S. Hazard, Joshua Mark Zucker
Hearing Site: New York, NY
| | Expungement |
| 08-02315 | 06/03/2009 | Claimant(s): Nicholas S. Orlando & Michelle Orlando
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Citigroup Global Markets., Joseph Reap
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Kinchen C. Bizzell, James S. Hazard, Harrison Johnson
Hearing Site: New York, NY
| | $60,000 |
| 04-07141 | 04/25/2008 | Claimant(s): Mariam Nigohosian
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Waterhouse Securities a/k/a
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Judith Fields Jurney, James S. Hazard, Daniel A. Dolan
Hearing Site: New York, NY
| | $150,000 |
