13-01806 | 05/11/2015 | Claimant(s): J. Kenneth Harbour, Nancy Harbour, J.K. Harbour TTE of the Reduction Family Claimant Lawyers(s): D. Daxton White Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David J. Butler Arbitrator(s): Richard W. Cutler, William J. Greene, Ira M. Ross Hearing Site: New York, NY
| | Expungement |
13-03688 | 05/01/2015 | Claimant(s): Kuku Walia Claimant Lawyers(s): Benjamin Lapin Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Richard W. Cutler, Frances Gottfried, Sonja Tennille Orgias Hearing Site: New York, NY
| | Expungement |
12-03312 | 11/22/2013 | Claimant(s): Cynthia Shaw Claimant Lawyers(s): Steven B. Caruso Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Polina M. Dostalik Arbitrator(s): Richard W. Cutler, Sandra J. Mullings, David Serko Hearing Site: New York, NY
| | $600 |
12-03469 | 11/07/2013 | Claimant(s): Leslie Stein Claimant Lawyers(s): Patrick Gaffney Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Richard W. Cutler Hearing Site: New York, NY
| | $600 |
12-00720 | 06/19/2013 | Claimant(s): Bernadette Kelleher Claimant Lawyers(s): Brian Kennedy Respondent(s): HSBC Securities (USA) Inc. Respondent Lawyers(s): Paul K. Stecker Arbitrator(s): Richard W. Cutler, John B. Myers, Ronald Harris Kisner Hearing Site: New York, NY
| | $11,000 |
12-01158 | 02/06/2013 | Claimant(s): Gerald Kaiser Claimant Lawyers(s): Adam J. Gana Respondent(s): Gregory Berger, UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): James D. Sallah, Polina M. Dostalik Arbitrator(s): Richard W. Cutler, Irene C. Warshauer, Herman Taub Hearing Site: New York, NY
| | $0 |
11-03185 | 02/22/2012 | Claimant(s): Irene Gilmore Claimant Lawyers(s): William B. Young Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Richard A. Karoly Arbitrator(s): Richard W. Cutler Hearing Site: New York, NY
| | $425 |
09-02964 | 06/14/2011 | Claimant(s): CITGO Petroleum Corporation, PDV Holding. Claimant Lawyers(s): Anne C. Flannery Respondent(s): Guillermo Clamens, FTC Capital Markets., FTC Emerging Markets., FTC Holdings Respondent Lawyers(s): Guillermo David Clamens Arbitrator(s): Charles Kleinbaum, Earl S. Schwarz, Richard W. Cutler Hearing Site: New York, NY
| | $20,943,000 |
09-01769 | 01/14/2011 | Claimant(s): Joseph Quattrocchi, Dependable Auto Body., George Tropiano IRA, Victor N. Sotra IRA, Katherine Ruotolo and Gina Ruotolo, Victor H. Stora and Lucille Stora Claimant Lawyers(s): Ross B. Intelisano Respondent(s): Allan Levine, Andrew Gonchar, Michael Schumacher, Polyvios Polyviou, Ronald Moschetta, Strasbourger Pearson Tulcin Wolff. Respondent Lawyers(s): Karen B. Estis, Michael K. Coran, Peter M. Spett, Ronald Moschetta Arbitrator(s): Richard W. Cutler, Edith M. Gunn, Jerome M Shafer Hearing Site: New York, NY
| | $367,388 |
09-06159 | 09/30/2010 | Claimant(s): Eric Friedlander Claimant Lawyers(s): David E. Robbins Respondent(s): Ameriprise Advisor Services. Respondent Lawyers(s): Julita Kargol Arbitrator(s): Richard W. Cutler, Jettie K. Thomas, Milton M. Stein Hearing Site: New York, NY
| | $0 |