| 17-00714 | 06/28/2018 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Eliza A. Kaiser
Respondent(s): John Huwiler, Pierre Guerin
Respondent Lawyers(s): Eliza A. Kaiser, Lawrence M. Pearson
Arbitrator(s): Harvey Barrison, David J. Weisenfeld, Nicholas R. Weiskopf
Hearing Site: New York, NY
| | |
| 17-01907 | 04/19/2018 | Claimant(s): Jason Katz
Claimant Lawyers(s): Amy Beth Bard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Harvey Barrison, Edward Baer, Evdokia Sofos
Hearing Site: New York, NY
| | |
| 17-01683 | 12/14/2017 | Claimant(s): Howard Puro
Claimant Lawyers(s): Howard Puro
Respondent(s): Christopher Mulville, Matthew Kirby, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kimberly Stone
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
|  | $175 |
| 10-04085 | 01/20/2012 | Claimant(s): Lehman Brothers Holdings Inc as assignee
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Ralph Wileczek
Respondent Lawyers(s): William Tobolsky
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
| | |
| 10-03471 | 12/22/2011 | Claimant(s): The Circle Trust UAD, Joan Lane TTEE
Claimant Lawyers(s): Hartley T. Bernstein
Respondent(s): Donna Leone, Laura Sloate, Neuberger Berman LLC, SWM Securities., Sloate, Weisman, Murray & Company.
Respondent Lawyers(s): Compliance Officer, Donna M. Leone, Victor A. Machcinski
Arbitrator(s): Harvey Barrison, Lisa Catalano, Robert S. Clemente
Hearing Site: New York, NY
| | Expungement |
| 08-05019 | 10/11/2011 | Claimant(s): Dalila Costa-Leroy
Claimant Lawyers(s): Richard J. Babnick
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Douglas H. Wigdor
Arbitrator(s): Harvey Barrison, Leah R. Marks, Erica Levitt
Hearing Site: New York, NY
| | |
| 10-02284 | 09/06/2011 | Claimant(s): Mitchell Asch
Claimant Lawyers(s): Mitchell Lawrence Asch
Respondent(s): Raymond, James & Associates., Peter Delahunt
Respondent Lawyers(s): Ann M. Hensler
Arbitrator(s): Harvey Barrison, James S. Hazard, Susan Mills Richmond
Hearing Site: New York, NY
| | |
| 10-01112 | 05/10/2011 | Claimant(s): Brady Elias
Claimant Lawyers(s): Adolph D. Seltzer
Respondent(s): Jeffrey Alexander, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Harvey Barrison, Howard L. Haykin, Josian Antoine
Hearing Site: New York, NY
| | $0 |
| 10-01071 | 06/18/2010 | Claimant(s): Diana Ricketti
Claimant Lawyers(s): Sheree Donath
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Mary Costa
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
| | |
| 05-06164 | 12/15/2008 | Claimant(s): Estate of James Ward
Claimant Lawyers(s): Christopher R. Ross
Respondent(s): John Susca, Ehrenkrantz King Nassbaum.
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Harvey Barrison, Denzil J. Klippel, John J. Witkowski
Hearing Site: New York, NY
| | $0 |
