| 12-02242 | 07/16/2015 | Claimant(s): Robert Teel, Robert Charles LLC, Robert Charles & Co., L.P., Robert Charles Class A, Robert Charles L.P., Calvin Brown Memorial Trust
Claimant Lawyers(s): Leslie Wybiral, Louis F. Burke
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates, Paul J. Schumacher
Arbitrator(s): Helen W. Kinnaird, Gene S. Evenskaas, Deanna Margaret Veitia
Hearing Site: San Diego, CA
|  | $327,000 |
| 09-01787 | 03/31/2011 | Claimant(s): Daniel Farash
Claimant Lawyers(s): Louis F. Burke
Respondent(s): UBS Financial Services Inc., Steven Feit
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): J. Martin McDonough, Marguerite B. Filson, Frank Irizarry
Hearing Site: New York, NY
| | $0 |
| 09-01011 | 08/24/2010 | Claimant(s): Sandy Lerner
Claimant Lawyers(s): Louis F. Burke
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Carol E. Weir, David J. Pine, Alfred H. Kingon
Hearing Site: New York, NY
| | $0 |
| 04-05063 | 10/09/2007 | Claimant(s): Fanam
Claimant Lawyers(s): Louis F. Burke
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joshua R. Cohen
Arbitrator(s): Jeffrey M. Bain, Gary R. Miles, Mitchell B. Goldberg
Hearing Site: Cleveland, OH
| | $700,000 |
