| 12-03047 | 12/04/2014 | Claimant(s): Roni Raviv, Blue Sky Resources
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nicolas S. Komyati
Arbitrator(s): Robert E. Anderson, Deborah A. Shapiro, David A. Schwarz
Hearing Site: New York, NY
|  | Expungement |
| 12-04323 | 10/10/2014 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s): Arthur Wiener and Paulette Wiener
Respondent Lawyers(s): Justin D'elia
Arbitrator(s): Jeffrey F. Friedman, Joel P. Mellis, Robert E. Anderson
Hearing Site: New York, NY
| | $0 |
| 13-01805 | 09/11/2014 | Claimant(s): Robert Regna
Claimant Lawyers(s): Jeffrey W. Herrmann
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Robert E. Anderson, S. Charles Tabak, Stanley David Goldman
Hearing Site: Newark, NJ
| | Expungement |
| 12-00699 | 06/11/2014 | Claimant(s): Edward C. Hope IRA by Marilyn Hope sole, Marilyn J. Hope IRA, Hope Irrevocable Grantor Trust by Barbar
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Susan George
Arbitrator(s): Robert E. Anderson, Emily Diamond, Felicia T. Farber
Hearing Site: Newark, NJ
| | Expungement |
| 11-02517 | 02/14/2014 | Claimant(s): Charles Lowden
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Anthony Ottimo, Nicholas Bentivegna, Richard Borgner, EKN Financial Services Inc.
Respondent Lawyers(s): Anthony Ottimo, Nicholas Bentivegna, Richard Reiss Borgner, Thomas Giugliano
Arbitrator(s): Julian F. Santos, Salvatore Saladini, Robert E. Anderson
Hearing Site: Newark, NJ
| | $100,000 |
| 12-03577 | 12/27/2013 | Claimant(s): Estate of Paul Cheng
Claimant Lawyers(s): Paul E. Kerson
Respondent(s): Keith Fasano, Emmett A Larkin Company., DPEC Capital., Investprivate.Com.
Respondent Lawyers(s): Eric S. Hutner, Gordon Hing
Arbitrator(s): Theodore Moreines, Robert E. Anderson, Joseph H. Cerame
Hearing Site: New York, NY
| | $0 |
| 13-01254 | 12/06/2013 | Claimant(s): Benjamin C. Ritter Jr and Nina Ritter JT
Claimant Lawyers(s): John L. Allen
Respondent(s): Anne Gagnon, Wells Fargo Securities Inc., Wells Fargo Advisors Financial Network, Wells Fargo Advisors, David Rosenberg, Wells Fargo Securities
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Robert E. Anderson, Joseph I. Liebman, Ronald J. Colombo
Hearing Site: New York, NY
| | Expungement |
| 12-00515 | 12/27/2012 | Claimant(s): Joel Steinman
Claimant Lawyers(s): Joel Steinman
Respondent(s): Wells Fargo Advisors, SunAmerica Annuity and Life Insurance Co
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | $15,786 |
| 08-00156 | 10/17/2012 | Claimant(s): Basil Maher, M. Maher, Essex Equity Holdings USA
Claimant Lawyers(s): S. Gale Dick
Respondent(s): Jeffrey Chernick, John Liu, Mark Stevenson, Neil Greenspan, Peter Gambee, Sanford Haber, William Gourd, Greenhill & Co.
Respondent Lawyers(s): Andrew J. Melnick, Emmet P. Ong, Theodore A. Krebsbach
Arbitrator(s): Robert E. Anderson, Judith P. Brooks, Sam Antar
Hearing Site: New York, NY
| | $0 |
| 11-00260 | 10/16/2012 | Claimant(s): Jill Goldman, The Goldman Family 2007 Irrev. Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Hugh Wallschleger, R. Seelaus & Co..
Respondent Lawyers(s): David W. Schmidt
Arbitrator(s): Michael Fischetti, Robert E. Anderson, Sherrill Ruth Austin
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
