| 16-01877 | 12/29/2017 | Claimant(s): Bright Lake Management LLC, Bright Lake LP
Claimant Lawyers(s): Ilan Preis
Respondent(s): Broadcort Capital Corporation, Jack Seibald, Merrill Lynch Pierce Fenner & Smith Inc., Michael Rosen, Robert Moore, Concept Capital Markets, Cowen Prime Services LLC, Merrill Lynch Professional Clearing Corp
Respondent Lawyers(s): Mark D. Knoll, Mark J. Hyland
Arbitrator(s): Anna M. Fanelli, Lynne M. Reid-McQueen, Richard Gee
Hearing Site: New York, NY
|  | $0 |
| 12-02759 | 07/28/2017 | Claimant(s): Peter Deutsch, William Deutsch
Claimant Lawyers(s): Howard Graff, Rachael Kierych
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Fred Shinagel, Paul S. Biederman, Robert E. Anderson
Hearing Site: New York, NY
| | $0 |
| 15-03071 | 04/05/2017 | Claimant(s): Alice Appel
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Indianapolis, IN
| | Expungement |
| 14-02744 | 04/29/2016 | Claimant(s): Linda Shelton
Claimant Lawyers(s): Adam M. Green
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | Expungement |
| 14-02942 | 12/14/2015 | Claimant(s): Caroline Pruett
Claimant Lawyers(s): John J. Miller
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Henry R. Cox, Betty R. Crumpton, John R. Loss
Hearing Site: Kansas City, MO
| | $101,072 |
| 12-01965 | 08/14/2013 | Claimant(s): The Estate of James W. Hassman, Deceased
Claimant Lawyers(s): Robert A. Klingler
Respondent(s): Daryl Demo, UBS Financial Services Inc.
Respondent Lawyers(s): Aaron A. VanderLaan, Mark D. Knoll
Arbitrator(s): Carol M. Stoner, Stephen P. Calardo, Daniel G. Zeiser
Hearing Site: Cincinnati, OH
| | $0 |
| 09-03454 | 03/30/2012 | Claimant(s): Irene Kaufman Trust by Irene & Bernice K
Claimant Lawyers(s): Lloyd De Vos
Respondent(s): Diane Frimmel, John Hannasch, UBS Financial Services Inc., Marten Hoekstra, Michael Weisberg
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Ilene Barbara Zatkin-Butler, Milton M. Stein, David J. Weisenfeld
Hearing Site: New York, NY
| | $0 |
| 10-02646 | 11/17/2011 | Claimant(s): Robert West
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Dwight Wassong
Hearing Site: New York, NY
| | $0 |
| 08-04357 | 11/03/2010 | Claimant(s): Steven Edelson and Ellen Edelson
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Kenneth Diamond, Cecilia B. Loving, Thomas D. Giordano
Hearing Site: New York, NY
| | $529,688 |
