| 17-03437 | 01/07/2019 | Claimant(s): Aldus Chapin, Chapin Family Trust
Claimant Lawyers(s): Aldus N Chapin
Respondent(s): TD Ameritrade., Citigroup Global Markets.
Respondent Lawyers(s): Richard C. Szuch, Simeon Schopf
Arbitrator(s): Harvey Barrison, Julian F. Santos, Pierre F. de Ravel d'Esclapon
Hearing Site: New York, NY
|  | Expungement |
| 14-02693 | 04/23/2018 | Claimant(s): Mark Pogue
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): William E. Hartsfield, Jeff Abrams, Russell Phillips Gandy
Hearing Site: Dallas, TX
| | Expungement |
| 17-01731 | 12/12/2017 | Claimant(s): James Guber
Claimant Lawyers(s): James Lee Guber
Respondent(s): FBR Capital Markets & Co.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Wayne I. Harris
Hearing Site: New York, NY
| | |
| 15-03063 | 04/25/2017 | Claimant(s): Barbara Kaye, Barbara J. Kaye Revocable Living Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Richard J. Stall
Hearing Site: Las Vegas, NV
| | Expungement |
| 15-02021 | 07/07/2016 | Claimant(s): Florence Natelson
Claimant Lawyers(s): Frank W. Visciano
Respondent(s): William Hennion, Hennion & Walsh.
Respondent Lawyers(s): Richard C. Szuch, Stefanie M. Wayco
Arbitrator(s): Steven Meyrich, Charles G. Michaels, Marilyn R. Lewis
Hearing Site: Denver, CO
| | $155,935 |
| 14-03016 | 03/24/2016 | Claimant(s): Carlos L. Merced, Obdulio Melendez Ramos, Ramon Velez Garcia
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Frederick H. Bruce, Edward Arthur Horton, Joseph Neal Richardson
Hearing Site: San Juan, PR
| | $470,804 |
| 13-03542 | 06/16/2015 | Claimant(s): Steve Hawley and Susan M. Hawley
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Douglas J. Nesbit, Jeffrey A. Schuh, Grant D. Sanders
Hearing Site: Minneapolis, MN
| | Expungement |
| 11-04166 | 02/02/2015 | Claimant(s): Warren Teitelbaum
Claimant Lawyers(s): George S. Mahaffey
Respondent(s): Jay Canell, Morgan Stanley, Neil Canell
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Robert Paulger Linn, John Joseph Sullivan, Douglas Earl McLaren
Hearing Site: Washington, DC
| | $0 |
| 12-03600 | 08/13/2014 | Claimant(s): Stephen Fleischer
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Richard J. Kaplan, Nanci Sondra Landy, Donna Greenspan Solomon
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 11-02405 | 08/23/2012 | Claimant(s): Arnold Schwedock Irrevocable Trust
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Thomas E. Duggan, Sanford S. Stevens, Barry Steven Port
Hearing Site: New York, NY
| | $0 |
