| 18-02572 | 03/12/2020 | Claimant(s): David Saxe, Phyllis Saxe, Elana Jill Saxe-Incapaciated Person, Elana Jill Saxe SNI Trust
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Tracey Schusterman, Janney Montgomery Scott LLC
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Fred S. Pieroni, Sandra Gale Behrle, Daniel Robbins
Hearing Site: New York, NY
|  | $152,674 |
| 19-00079 | 08/08/2019 | Claimant(s): Robert Conzo
Claimant Lawyers(s): Polina M. Dostalik
Respondent(s): UBS Financial Services Inc., Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, Craig Vollono
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | |
| 18-02757 | 05/10/2019 | Claimant(s): Anthony Markovic
Claimant Lawyers(s): Anthony L. Markovic
Respondent(s): Sterne, Agee & Leach.
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Sandra Gale Behrle, David I. Goldblatt, Nunzio Garzino
Hearing Site: New York, NY
| | Dismissed by Rule 12206/12504 |
| 18-00714 | 11/05/2018 | Claimant(s): Nicholas Tagliarino
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Denver G. Edwards
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | |
| 15-01201 | 07/24/2018 | Claimant(s): AC Scout Trading
Claimant Lawyers(s): Steven P. Gomberg
Respondent(s): Newedge USA, SG Americas Securities
Respondent Lawyers(s): William J. Nissen
Arbitrator(s): Sandra Gale Behrle, Anthony J. Raimondi, James Anthony Maccaro
Hearing Site: New York, NY
| | $0 |
| 17-01800 | 03/13/2018 | Claimant(s): William Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Smith Asset Management.
Respondent Lawyers(s): William B. Smith
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | |
| 17-01832 | 02/12/2018 | Claimant(s): Padraig McBrien
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Leonard Weintraub
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | |
| 16-01299 | 08/21/2017 | Claimant(s): Harvey Lambert, Lisa Lambert
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Kenneth Diamond, Sandra Gale Behrle, Ivan W. Harper
Hearing Site: New York, NY
| | $0 |
| 15-03378 | 12/23/2016 | Claimant(s): UY Trading LTD, Titan Global Return Fund LP
Claimant Lawyers(s): David Jaroslawicz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Professional Clearing, TJM Investments
Respondent Lawyers(s): Mark Knoll, Richard T. Reibman
Arbitrator(s): Sandra Gale Behrle, Wallace Anthony Showman, William James Cortellessa
Hearing Site: New York, NY
| | $0 |
| 16-00254 | 05/12/2016 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp
Claimant Lawyers(s): James L. Komie
Respondent(s): Michael Dinapoli
Respondent Lawyers(s): Michael James Dinapoli
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | |
