| 17-03013 | 11/09/2021 | Claimant(s): Laurie Diamond
Claimant Lawyers(s): Laurie E. Diamond
Respondent(s): Morgan Stanley, Wells Fargo Advisors, Jeffrey Van Demark
Respondent Lawyers(s): Andrew R. Park, Irisa Chen, Patricia E. Cowart
Arbitrator(s): Pamela H Roderick, Camille S. Cooper, Michael S. Perinelli
Hearing Site: New York, NY
|  | Expungement |
| 17-02952 | 01/09/2019 | Claimant(s): Ron Ben-Zakai, Refua Shlema
Claimant Lawyers(s): Samuel J. Lieberman
Respondent(s): Philip Rabinovich, Dinosaur Financial Group
Respondent Lawyers(s): M. William Munno
Arbitrator(s): Richard W. Cutler, Pamela H. Roderick, James G Paulsen
Hearing Site: New York, NY
| | Expungement |
| 17-00880 | 07/12/2018 | Claimant(s): Ferrospes AS
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): George Calhoun, Laidlaw & Company (Uk) Ltd.
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): James J. Fishman, Pamela H. Roderick, Clarence Smith
Hearing Site: New York, NY
| | $25,000 |
| 16-01275 | 04/07/2017 | Claimant(s): Daniel Rubenstein
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Pamela H. Roderick, Ira A. Auerbach, Nicholas M. Herubin
Hearing Site: New York, NY
| | Expungement |
| 16-01442 | 03/21/2017 | Claimant(s): Alice Hedberg
Claimant Lawyers(s): Alice L. Hedberg
Respondent(s): Torsten Holmes, Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Pamela H. Roderick, Anthony Michael Sabino, Lisa Catalano
Hearing Site: New York, NY
| | $0 |
| 15-01906 | 09/23/2016 | Claimant(s): Mario Marelli, Sara Lord
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Morgan Stanley, Michael Glovas
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Pamela H. Roderick, Leslie Ruth Nydick, Veronica Ann Williams
Hearing Site: New York, NY
| | $300 |
| 13-00264 | 07/24/2014 | Claimant(s): Norma Peters and Craig Shields
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Pamela H. Roderick, Sandra J. Mullings, Joseph I. Liebman
Hearing Site: New York, NY
| | Expungement |
| 12-03881 | 03/18/2014 | Claimant(s): Barton Waxman, Dorothy Waxman
Claimant Lawyers(s): Seth Huberman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Pamela H. Roderick, Angela Lourdes Ortiz
Hearing Site: New York, NY
| | Expungement |
| 12-02707 | 10/16/2013 | Claimant(s): Christina Brancati
Claimant Lawyers(s): Marc Fitapelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stefanie M. Wayco
Arbitrator(s): Fred S. Pieroni, Pamela H. Roderick, Harrison Johnson
Hearing Site: New York, NY
| | Expungement |
| 11-03049 | 08/16/2013 | Claimant(s): Monica Sidaoui
Claimant Lawyers(s): Mark David Hunter
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas Briody
Arbitrator(s): Pamela H. Roderick, Ann Pinciss Berman, Lori H. Carena
Hearing Site: New York, NY
| | Expungement |
