| 20-01970 | 02/04/2021 | Claimant(s): Barbara Minkowitz
Claimant Lawyers(s): Barbara Minkowitz
Respondent(s): Pershing Advisor Solutions LLC
Respondent Lawyers(s): James H. Forte
Arbitrator(s): Patricia Kathleen Costello
Hearing Site: Jersey City, NJ
|  | $0 |
| 19-03441 | 12/18/2020 | Claimant(s): John Miller
Claimant Lawyers(s): Andrew J. Rodgers
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Leona Beane, Amy Jill Baranoff, Patricia Kathleen Costello
Hearing Site: New York, NY
| | $0 |
| 19-02180 | 10/19/2020 | Claimant(s): Amanda B. Straight Revocable Trust
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): John F. Duane, Gerald H. Grayson, Patricia Kathleen Costello
Hearing Site: New York, NY
| | $0 |
| 18-01899 | 08/28/2019 | Claimant(s): James Porz
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Harvey Barrison, Philip J De Bellis, Patricia Kathleen Costello
Hearing Site: New York, NY
| | Dismissed by Rule 12206/12504 |
| 16-02160 | 09/26/2017 | Claimant(s): Linda Kaplan
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Oppenheimer & Co.., Raymond, James & Associates., Peter Marketos
Respondent Lawyers(s): Ralph T. Izzo, Robert L. Herskovits, Robert M. Rudnicki
Arbitrator(s): Brooks White, Patricia Kathleen Costello, Elliot Schnapp
Hearing Site: New York, NY
| | Expungement |
