| 12-03256 | 10/02/2013 | Claimant(s): Sondra Schneider
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Alun Hywel Jones, David B. Beizer, Charles W. Danis
Hearing Site: Hartford, CT
|  | Expungement |
| 12-01376 | 03/25/2013 | Claimant(s): Barbara J. Hopkins, Earl S. Hopkins, Gerald R. Capozzoli
Claimant Lawyers(s): Christopher T. Meier
Respondent(s): Charles Harding, Pacific West Securities.
Respondent Lawyers(s): Chance A. E. Hodges, Charles Everett Harding
Arbitrator(s): Stephen Z. Frank, Alun Hywel Jones, Frederick J. Myers
Hearing Site: Manchester, NH
| | $308,720 |
| 11-00697 | 02/24/2012 | Claimant(s): Jonathan DeJulio
Claimant Lawyers(s): Jonathan D. DeJulio
Respondent(s): Evan Shear, Walter Crossley
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): William H. Steinbrenner, Alun Hywel Jones, Alan E. Linden
Hearing Site: Orlando, FL
| | |
| 10-01011 | 11/14/2011 | Claimant(s): Alyssa DiRienzo, Amara DiRienzo, Cynthia Pilot, Deborah Holstein, Deborah Lutz, Frederick DiRienzo, Johanna C. & Frederick H. DiRienzo, The 1992 Irrevocable Trust for the Benef
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Colin Cookson, Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., National Financial Services LLC
Respondent Lawyers(s): Mark S. Cohen, Michael G. Shannon, Nicki Samson
Arbitrator(s): Evonne W.J. Tolbert, Alun Hywel Jones, Kevin B. Naughten
Hearing Site: New York, NY
| | $0 |
| 10-02177 | 10/07/2011 | Claimant(s): JonesTrading Institutional Services LLC
Claimant Lawyers(s): Daniel J. Kornstein
Respondent(s): Charles Manning, Douglas Finnegan, Ermenegildo Niutta, Mark Edgar, Meredith Curley, Nomura Securities International.
Respondent Lawyers(s): David Potter, Pearl Zuchlewski, Robin D. Fessel
Arbitrator(s): Alun Hywel Jones, Paul Giappone, Lawrence J. Roth
Hearing Site: New York, NY
| | |
| 10-03837 | 09/14/2011 | Claimant(s): The Richard Steinberg Living Trust
Claimant Lawyers(s): David E. Bamberger
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Kinchen C. Bizzell, Alun Hywel Jones, Ivan W. Harper
Hearing Site: New York, NY
| | $0 |
| 09-00286 | 06/24/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Gregory Kenzik
Respondent Lawyers(s): Neil A. Sussman
Arbitrator(s): Carolyn A. Mann, Preston V. Pumphrey, Alun Hywel Jones
Hearing Site: New York, NY
| | |
| 08-02036 | 12/18/2009 | Claimant(s): Victoria Hyman
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Daniel Ondeck, Nicholas Diavatis, Steven Hyman, Friedman, Billings, Ramsey & Co..
Respondent Lawyers(s): Edward J. Bennett, Steven Hyman
Arbitrator(s): Alun Hywel Jones, Martin H. Zern, Nino Armienti
Hearing Site: New York, NY
| | $0 |
| 07-03351 | 07/22/2009 | Claimant(s): D.B. Toy Products., Marilyn Brechener TTEE Gertrude Sussel
Claimant Lawyers(s): Sidney A. Weisberg
Respondent(s): Patrick Rathje, Sky Capital LLC
Respondent Lawyers(s): Fran Duffy, Patrick Rathje
Arbitrator(s): Lori H. Carena, Alun Hywel Jones, Daniel J. Cristofano
Hearing Site: New York, NY
| | $0 |
| 07-00131 | 06/20/2008 | Claimant(s): Michael Ziegelbaum
Claimant Lawyers(s): Michael Burrows
Respondent(s): MarkeAxess Holdings. f/k/a Martket, Marketaxess Corporation
Respondent Lawyers(s): David A. Picon, Kenneth E. Aldous
Arbitrator(s): Frank M. Suttell, Carole R. Bernstein, Alun Hywel Jones
Hearing Site: New York, NY
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