| 20-00455 | 07/03/2024 | Claimant(s): Christina Aitchison, Thomas Aitchison, Christina S. Aitchison IRA Account, Thomas M. Aitchison IRA Account, TM & CS Aitchison 1998 Revocable Trust
Claimant Lawyers(s): Brandon S. Reif, Jon C. Furgison
Respondent(s): Morgan Stanley, Jim Stephenson, Nicholas Rogers
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): Ralph A. Cotton, Peter H. Daly, Kevin Francis Woodall
Hearing Site: San Francisco, CA
|  | Expungement |
| 22-02842 | 09/13/2023 | Claimant(s): Sigmund Rogich, Stephen Sameroff, Robert Castiglione & Marilyn Castiglione, The Rogich 2004 Family Irrevocable Trust
Claimant Lawyers(s): Sam Schwartz
Respondent(s): David Turetzky, Morgan Stanley
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): Edward F. Zagajeski, Megan Brillault, John Warner Lowe
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 18-00884 | 12/17/2019 | Claimant(s): Johnny Scott
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): John P. Cullem
Hearing Site: Jacksonville, FL
| | $0 |
| 17-02736 | 05/07/2019 | Claimant(s): Irwin and Madeline Lieber, Joint Tenants
Claimant Lawyers(s): Sam Schwartz
Respondent(s): David Turetzky, Morgan Stanley & Co., Jeffrey Cadan, Michael Paesano
Respondent Lawyers(s): David E. Robbins, Jeffrey Neil Cadan, William D. Briendel
Arbitrator(s): David S. Billet, Abigail R. Levy, Richard M. Gray
Hearing Site: New York, NY
| | Expungement |
| 17-02384 | 03/19/2019 | Claimant(s): Harriett Chomen, Ira Fink
Claimant Lawyers(s): James P. Galvin
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | Expungement |
| 09-07182 | 09/11/2013 | Claimant(s): Bernard Reznick, Betty Feurring, Brian Schmier, Brian Wynn, Bruce Bartley, Charles Marqusee, Douglas Feurring, Ellen Schmier, Emily Feurring, Helga Marqusee, Jamie Rosemurgy, Linda Schmier, Michal Utterback, Robert Schmier, Ross Feurring, Sam Lee, Sonya Utterback, Feurring Family Limited Partnership, 3 Schmiers Investment Trust LLC, Douglas R. Feurring Revocable Trust, et al
Claimant Lawyers(s): Gary A. Praglin
Respondent(s): Bruce Treitman, Christopher Frank, Deutsche Bank Securities., Henry Persons, Jon Javellana, Kenneth Ro
Respondent Lawyers(s): Jason R. Lindsay, Mark Parmelee, Paul J. Schumacher, Toby Soli, William D. Briendel
Arbitrator(s): James R. Duncan, Neil S. Jasper, Ralph B. Perry
Hearing Site: Los Angeles, CA
| | $180,000 |
| 08-02908 | 04/21/2011 | Claimant(s): Advanced Delivery & Chemical Systems Hol
Claimant Lawyers(s): Joseph J. Sullivan
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): George Sommerfeld, David S. Paul, Herbert N. Fishman
Hearing Site: New York, NY
| | $0 |
| 08-04482 | 02/08/2011 | Claimant(s): Elizabeth Schaper, Estate of Armin Schaper, Estate of Ethel Schaper, IRA, Douglas Schaper Trust, Ethel Schaper Charitable Trust
Claimant Lawyers(s): Jill C. Owens
Respondent(s): Anthony D'Aquila, Citigroup Global Markets., Paul Olivo
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): Richard S. Peskin, James S. Hazard, Joshua Mark Zucker
Hearing Site: New York, NY
| | Expungement |
