| 18-01157 | 04/16/2019 | Claimant(s): Clifford Gelman
Claimant Lawyers(s): Anthony J. Harwood
Respondent(s): Thomas Borruso
Respondent Lawyers(s): Thomas Joseph Borruso
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
|  | $260,000 |
| 18-01536 | 12/07/2018 | Claimant(s): Robert Gilman
Claimant Lawyers(s): John Stewart
Respondent(s): Morgan Stanley & Co. LLC
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 18-00949 | 09/19/2018 | Claimant(s): Anne Gagnon, David Rosenberg
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 16-03651 | 08/09/2018 | Claimant(s): Joseph Metkoff and Mary Metkoff
Claimant Lawyers(s): David E. Robbins
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Jennifer Woods Burke
Arbitrator(s): Howard L. Sobel, Maya Steinitz, Steven C. Kasarda
Hearing Site: New York, NY
| | $0 |
| 17-00577 | 06/01/2018 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Dave Rao
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 16-03026 | 05/15/2018 | Claimant(s): Dana Korr, David Korr, Jill Korr, Jonathan Korr
Claimant Lawyers(s): Marc S Gottlieb
Respondent(s): Wells Fargo Advisors, Peter Stabell
Respondent Lawyers(s): Jennifer G. Chawla
Arbitrator(s): Howard L. Sobel, Evdokia Sofos, Jeffrey P. Bachmann
Hearing Site: New York, NY
| | Expungement |
| 16-00911 | 08/23/2017 | Claimant(s): Stacy Marcus
Claimant Lawyers(s): Alexander H. Gardner
Respondent(s): Heron Financial Group LLC
Respondent Lawyers(s): Joseph Sullivan
Arbitrator(s): Howard L. Sobel, Mary Lou McGanney, Ronald Leven
Hearing Site: New York, NY
| | |
| 14-02524 | 06/19/2017 | Claimant(s): Rosalie Lanzisera, Rosalie A. Lanzisera, IRA
Claimant Lawyers(s): Joseph A. Sack
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Joan M. Traub, Howard L. Sobel, Doris B. Nathan
Hearing Site: New York, NY
| | $0 |
| 16-02765 | 05/16/2017 | Claimant(s): Sally Amer
Claimant Lawyers(s): Aaron Romney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 16-01625 | 12/12/2016 | Claimant(s): Scott Blair
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
