| 12-02533 | 08/14/2015 | Claimant(s): Estate of Malcolm Schvey
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): Mitchell S. Friedman, Sanford S. Stevens, Sandra Gale Behrle
Hearing Site: New York, NY
|  | $427,060 |
| 13-01411 | 02/04/2015 | Claimant(s): CIFG Assurance North America.
Claimant Lawyers(s): Sean Baldwin
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): William B. Monahan
Arbitrator(s): Mitchell S. Friedman, Fred L. Simon, Renee La Verne Ross CFP
Hearing Site: New York, NY
| | $2,500,000 |
| 13-00501 | 07/11/2014 | Claimant(s): Elizabeth Krinick
Claimant Lawyers(s): August Iorio
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Mitchell S. Friedman, Laura Carraher, Yvette Strong
Hearing Site: New York, NY
| | Expungement |
| 09-05141 | 06/10/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Verus Investments Holdings., Winton Capital Holding
Respondent Lawyers(s): Charles J. Hecht, H. Peter Haveles
Arbitrator(s): Mitchell S. Friedman, Andrew H. Freund, Howard A. Baker
Hearing Site: New York, NY
| | $886,270 |
| 11-02418 | 04/16/2013 | Claimant(s): Alain Coello, Frank Braun, Leheng Lee, Yvonne Braun
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Anthony Giuliano III, John Thomas Financial
Respondent Lawyers(s): Anthony Frank Giuliano III, Robert M. Bursky
Arbitrator(s): Mitchell S. Friedman, Walter M. Schackman, Edwin H. Bennett
Hearing Site: New York, NY
| | Expungement |
| 11-03327 | 03/21/2013 | Claimant(s): Peter Hasho
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas P. Briody
Arbitrator(s): Kip C. Lubcke, Mitchell S. Friedman, Robert G. O'Brien
Hearing Site: New York, NY
| | Expungement |
| 10-02664 | 06/24/2011 | Claimant(s): Susan Ginsburg, David M. Ginsburg Test. Trust by S. Gins
Claimant Lawyers(s): R. Diego Velazquez
Respondent(s): Sanford C. Bernstein & Co., Laurence Bertan, Paul Cobuzzi, Alliancebernstein Investments.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Mitchell S. Friedman, Michael S. Perinelli, Edwin H. Bennett
Hearing Site: New York, NY
| | $0 |
| 09-06628 | 02/23/2011 | Claimant(s): Bernard Ochs
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Alex Shtaynberger, Jason Russo, Ronald Furst, Todd Cirella, Laidlaw & Company (UK) Ltd.
Respondent Lawyers(s): Ira Scot Meyerowitz
Arbitrator(s): Mitchell S. Friedman, Denise L. Quarles, Arthur M. Schoenberger
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 09-03613 | 11/22/2010 | Claimant(s): Waterlight International S.A.
Claimant Lawyers(s): Timothy P. Kebbe
Respondent(s): Edward Marx, UBS Financial Services Inc.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Mitchell S. Friedman, Linda S. Cole, Jonathan Honig
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 09-02400 | 06/24/2010 | Claimant(s): Michael Jacobs, Michael Jacobs Custod. for Julie Jacobs, Michael Jacobs Custodian Jeffery Jacobs, Diane Jacobs Disclaimer Trust
Claimant Lawyers(s): Alan L Frank
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy Bard
Arbitrator(s): Mitchell S. Friedman, Richard Gee, Andrew Shearman Benjamin
Hearing Site: New York, NY
| | $0 |
