| 11-04308 | 03/14/2013 | Claimant(s): Stephen Trigg
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
|  | Expungement |
| 09-06282 | 07/30/2012 | Claimant(s): Arlene Scanlan
Claimant Lawyers(s): Steven L. Manchel
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Evelyn Bukchin
Arbitrator(s): Joseph J. Arata, Ernesto V. Luzzatto, Scott W. Mulford
Hearing Site: New York, NY
| | $150,000 |
| 08-00443 | 11/17/2011 | Claimant(s): Gerald Rupp, John Roberts
Claimant Lawyers(s): Robert J. Hausen
Respondent(s): Oppenheimer & Co.., Nancy Abraham
Respondent Lawyers(s): Peter Byer, Stephen Ehrenberg
Arbitrator(s): Joseph J. Arata, Robina Fedora Asti, Edward G. Toptani
Hearing Site: New York, NY
| | $0 |
| 09-05858 | 09/30/2010 | Claimant(s): Susan Hamovitch
Claimant Lawyers(s): Susan Hamovitch
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Peter Inserra
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | $0 |
| 07-02776 | 07/22/2008 | Claimant(s): Jose Fiquene Barbosa, Evoluon Empreendimentos, LTDA
Claimant Lawyers(s): Saboor H. AbdulJaami
Respondent(s): Claudio Izquierdo, Fabrizio Neves, UBS Financial Services Inc., UBS International.
Respondent Lawyers(s): Claudio Izquierdo, Jeoff M. Cahen, Kenneth G. Crowley
Arbitrator(s): Judith R. MacDonald, Joseph J. Arata, Eric P. Nachman
Hearing Site: New York, NY
| | $0 |
