| 14-01628 | 04/15/2015 | Claimant(s): Adam Steinberg, Jeffrey Steinberg, Adam Steinberg SEP IRA
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
|  | $15,300 |
| 13-01283 | 11/05/2013 | Claimant(s): Rosalyn Wenzel
Claimant Lawyers(s): Rosalyn S. Wenzel
Respondent(s): Glenn King, Royal Alliance Associates., Louis Sorrentino
Respondent Lawyers(s): Glenn R. King, Lauren H. Lezak, Louis R. Sorrentino
Arbitrator(s): Jeffrey Steinberg
Hearing Site: Newark, NJ
| | $0 |
| 09-07084 | 04/09/2013 | Claimant(s): Carol Cohen, Ronald Cohen
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Jeffrey Rachlin, Alternative Wealth Strategies.
Respondent Lawyers(s): James C. Gaul, Jeffrey Rachlin
Arbitrator(s): Jeffrey Steinberg, Abraham Harry Bunis, Linda J. Baer
Hearing Site: Newark, NJ
| | Stipulated Award |
| 08-01224 | 07/29/2009 | Claimant(s): Victoria Kaufman
Claimant Lawyers(s): Stanislaus S. Mroczkowski
Respondent(s): UBS Financial Services Inc., Scott Rose
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jeffrey Steinberg, Abraham Harry Bunis, Stephen L. Lister
Hearing Site: New York, NY
| | $0 |
