| 18-04248 | 06/12/2019 | Claimant(s): Yatin Sampat
Claimant Lawyers(s): Yatin Sampat
Respondent(s): Barclays Capital Inc., optionsXpress.
Respondent Lawyers(s): David G. Russell, Joseph L. Siders
Arbitrator(s): Susan C. Lushing, Marguerite B. Filson, Keely D. Parr
Hearing Site: New York, NY
|  | Dismissed by Rule 12206/12504 |
| 16-01076 | 08/08/2017 | Claimant(s): Thomas Fuchs and Kathleen Fuchs
Claimant Lawyers(s): David Jaroslawicz
Respondent(s): J.P. Morgan Securities, Philip Dub
Respondent Lawyers(s): Eugene Small
Arbitrator(s): Marguerite B. Filson, Thomas J. Stock, Carol Maria Luttati
Hearing Site: New York, NY
| | $100,000 |
| 14-00231 | 03/24/2015 | Claimant(s): Diana Silvar, Joseph Romano, Kevin Silvar
Claimant Lawyers(s): Kristian P. Kraszeweski
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Marguerite B. Filson
Hearing Site: New York, NY
| | Expungement |
| 12-03428 | 04/23/2014 | Claimant(s): Gregory Grimaudo, Lori Grimaudo
Claimant Lawyers(s): Ron Tomlins
Respondent(s): Jeffrey Altomari, Morgan Stanley, The Hudson Valley Group
Respondent Lawyers(s): Joseph DaProcida
Arbitrator(s): Marguerite B. Filson, Joseph N. Stineman, Salvatore J. Bate
Hearing Site: New York, NY
| | Expungement |
| 11-04269 | 09/10/2013 | Claimant(s): Steven Jones
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Citigroup Global Markets., UBS Financial Services Inc., Marvin Goldin, Michael Kosik
Respondent Lawyers(s): Amy B. Bard, William Hohauser
Arbitrator(s): Roger J. Hawke, Marguerite B. Filson, Lincoln W. Craighead
Hearing Site: New York, NY
| | Expungement |
| 12-01186 | 05/08/2013 | Claimant(s): Lillian Sherdal, Victor Zackay
Claimant Lawyers(s): Douglas J. Varga
Respondent(s): Wells Fargo Advisors, Jason Kubica, John Kubica
Respondent Lawyers(s): Alan S. Raftman
Arbitrator(s): Marguerite B. Filson, Jill I. Gross, Robert G. O'Brien
Hearing Site: New York, NY
| | Expungement |
| 10-04510 | 06/28/2011 | Claimant(s): Jonathan Landow
Claimant Lawyers(s): Bernard Nathan
Respondent(s): Wachovia Securities, Wells Fargo Advisors, George Gordon, Walter Anderson
Respondent Lawyers(s): Erin Durba, Walter Randolph Anderson
Arbitrator(s): Michael E. Olney, Marguerite B. Filson, Abigail J. Pessen
Hearing Site: New York, NY
| | $0 |
| 09-06905 | 05/27/2011 | Claimant(s): US Airways.
Claimant Lawyers(s): Michael J. Baratz
Respondent(s): George Perry, Joseph Arena, Lars Jacobson, Roland Hansalik
Respondent Lawyers(s): Philip E. Cook
Arbitrator(s): Marguerite B. Filson, Sally Jane Sancimino, Maya Steinitz
Hearing Site: New York, NY
| | $15,000,000 |
| 09-01787 | 03/31/2011 | Claimant(s): Daniel Farash
Claimant Lawyers(s): Louis F. Burke
Respondent(s): UBS Financial Services Inc., Steven Feit
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): J. Martin McDonough, Marguerite B. Filson, Frank Irizarry
Hearing Site: New York, NY
| | $0 |
| 08-02529 | 12/29/2009 | Claimant(s): Andrew Walzer
Claimant Lawyers(s): Andrew I. Walzer
Respondent(s): Gerard Koske, Muriel Siebert & Co.., Muriel Siebert, National Financial Services LLC
Respondent Lawyers(s): Hiram D. Gordon, Michael G. Shannon
Arbitrator(s): Michael H. DuBoff, Marguerite B. Filson, Michael L. Moran
Hearing Site: New York, NY
| | $0 |
