| 15-03221 | 07/25/2016 | Claimant(s): Philip Merryman
Claimant Lawyers(s): Philip Merryman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
|  | $0 |
| 15-01778 | 05/06/2016 | Claimant(s): Peter Klein
Claimant Lawyers(s): David J. Butler
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Edward Baer, William G. Binckes, Howard L. Sobel
Hearing Site: New York, NY
| | |
| 15-00395 | 05/04/2016 | Claimant(s): Swapnil Rege
Claimant Lawyers(s): Ethan Brecher
Respondent(s): Nomura Securities International.
Respondent Lawyers(s): Daniel S. Cahill
Arbitrator(s): Howard L. Sobel, Anna M. Fanelli, Paul George Huck
Hearing Site: New York, NY
| | |
| 14-01929 | 08/24/2015 | Claimant(s): Saagar Gupta
Claimant Lawyers(s): Daniel E. Rhynhart
Respondent(s): HAP Trading
Respondent Lawyers(s): Ira Lee Sorkin
Arbitrator(s): Daniel B. Berkson, Howard L. Sobel, Linda J. Baer
Hearing Site: New York, NY
| | |
| 12-04362 | 03/20/2015 | Claimant(s): Richard Faherty
Claimant Lawyers(s): Michael J. Giarrusso
Respondent(s): Joseph Accardi, Morgan Stanley, Ruven Rodriguez
Respondent Lawyers(s): William Hohauser
Arbitrator(s): Daniel B. Berkson, Howard L. Sobel, Ellen R. Badinelli
Hearing Site: New York, NY
| | Expungement |
| 13-01895 | 09/24/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Evan Sall
Respondent Lawyers(s): Michael Kalmus
Arbitrator(s): David E. Robbins, Howard L. Sobel, Carole R. Bernstein
Hearing Site: New York, NY
| | |
| 13-02650 | 05/14/2014 | Claimant(s): Tracy Stern
Claimant Lawyers(s): Mason Slaine
Respondent(s): Stephen Elblonk
Respondent Lawyers(s): Sydney A. Marks
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | $0 |
| 12-04283 | 02/25/2014 | Claimant(s): Benjamin Ramsey
Claimant Lawyers(s): Leonard Benowich
Respondent(s): Laurence Allen, ACP Investment Group, Nyppex
Respondent Lawyers(s): Daniel L. Schwartz
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 13-00649 | 01/29/2014 | Claimant(s): Salvatore Battimelli
Claimant Lawyers(s): Edward R. Scofield
Respondent(s): Ahmad Wares, EKN Financial Services Inc.
Respondent Lawyers(s): Bradley D. Schnur, Thomas Michael Giugliano
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | $47,585 |
| 12-02597 | 10/02/2013 | Claimant(s): William Roache
Claimant Lawyers(s): Michael M. Steinmetz
Respondent(s): John Macrone
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Richard W. Vallario, Howard L. Sobel, Amy Banet
Hearing Site: New York, NY
| | $699,394 |
