| 17-01333 | 06/25/2018 | Claimant(s): Tracy Corn, TTDY TOO LLC
Claimant Lawyers(s): David Valicenti
Respondent(s): David Traverso, Morgan Stanley & Co.
Respondent Lawyers(s): John S. Worden
Arbitrator(s): William Ziering, Kathryn J. Toronto, Nancy A. Yonge
Hearing Site: San Francisco, CA
|  | $0 |
| 16-00205 | 06/22/2018 | Claimant(s): Aviva Rahmani
Claimant Lawyers(s): Corban S. Rhodes
Respondent(s): David Altman, Sanford C. Bernstein & Co., Leonard Hersh
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Lynne M. Reid-McQueen, Stephen A. Weiner, Elliot Schnapp
Hearing Site: New York, NY
| | Expungement |
| 16-00715 | 06/22/2018 | Claimant(s): Alon Shaked, Elvira Corkidi, Jacobo Bender, Joel Bender, Lorraine Shaked, Raquel Bender, Salmon Abadi, Sara Bender, AC PR Investments LLC, Caribbean Retail Ventures., YY Children LLC, YY Family LLC, The Abadi Corkidi Family Trust, The Fideicomiso Jr Bender - 1, The Shaked Bender Children Trust, The Shaked Bender Family Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Guillermo J. Bobonis, Wes Holston
Arbitrator(s): Ron Pekoe, Don G Miller, John B. Sochacki
Hearing Site: San Juan, PR
| | $4,286,450 |
| 17-01601 | 06/22/2018 | Claimant(s): Frank Ventura IRA
Claimant Lawyers(s): Frank Ventura
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Leslie L. Cooney
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-01020 | 06/22/2018 | Claimant(s): Lisa Pola
Claimant Lawyers(s): Tracy P Stoneman
Respondent(s): Morgan Stanley, Robert Perry
Respondent Lawyers(s): John S. Worden
Arbitrator(s): Michael Harrison, Mary M. O'Neil, Charles Chia-Lin Hsieh
Hearing Site: Los Angeles, CA
| | $0 |
| 17-01417 | 06/22/2018 | Claimant(s): Candida Heffernan, Estate of Thomas Heffernan
Claimant Lawyers(s): Deanna Besbekos-LaPage
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Michael J. McNeil, Michael P. Breton, Thomas Joseph Regan
Hearing Site: Hartford, CT
| | $0 |
| 18-00181 | 06/22/2018 | Claimant(s): Michael Conzone
Claimant Lawyers(s): Michael J Conzone
Respondent(s): Morgan Stanley, Joseph Corona
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Kenneth Dymond
Hearing Site: Syracuse, NY
| | $0 |
| 17-03366 | 06/21/2018 | Claimant(s): Larry Erlichman
Claimant Lawyers(s): G. Thomas Fleming
Respondent(s): James Gordon, Royal Alliance Associates.
Respondent Lawyers(s): Kerri L. Delgado, Oliver W. Bray
Arbitrator(s): Robert D. Sussin, Morris S. Getzels, Robert Edward Koondel
Hearing Site: Los Angeles, CA
| | Expungement |
| 16-00012 | 06/20/2018 | Claimant(s): Robert Hernreich, R. Hernreich 1987 Family Trust, R. Hernreich Charitable Remainder Trst 1, R. Hernreich Charitable Remainder Trst 2, R. Hernreich Charitable Remainder Trst 3, R. Hernreich Charitable Remainder Trst 4, R. Hernreich Charitable Remainder Trst 5, Robert E. Hernreich 2005 Trust
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Charles G. Michaels, Donald N. Tolin, Hazel E. Hanley
Hearing Site: Denver, CO
| | Expungement |
| 17-01568 | 06/20/2018 | Claimant(s): Howard Weissberg, Howard Weissberg IRA, Sheila Weissberg IRA, Sheila and Howard Weissberg
Claimant Lawyers(s): Thomas J. Romans
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin K. Fair
Arbitrator(s): Michael H. DuBoff
Hearing Site: Newark, NJ
| | $32,881 |
