| 17-00910 | 11/23/2018 | Claimant(s): Herbert Voss
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Danard Brown, Frank Fusco, Legend Securities.
Respondent Lawyers(s): Danard W. Brown, Frank Philip Fusco, Salvatore C. Caruso
Arbitrator(s): Benjamin L. Anderson, Michele S. Riley, Wallace Anthony Showman
Hearing Site: New York, NY
|  | $1,075,000 |
| 16-00972 | 09/25/2017 | Claimant(s): John Patterson, Stella Patterson, John Patterson and Stella Patterson
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Ladenburg Thalmann & Co. Inc.
Respondent Lawyers(s): Michael D. Handelsman
Arbitrator(s): Gordon M. Wase, Kathleen K. Murphy, John James McGovern
Hearing Site: Philadelphia, PA
| | $358,200 |
| 14-02464 | 12/05/2016 | Claimant(s): Mercedes Imbert de Jesus, Rafael Vizcarrondo
Claimant Lawyers(s): Rafael Lugo, Timothy J. Dennin
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Wesley Holston
Arbitrator(s): John D. Mattingly, Frances Johnson Wright, Susan Meek
Hearing Site: San Juan, PR
| | $18,577,400 |
| 11-00240 | 07/31/2013 | Claimant(s): Ben Schwartz, Ben I. Schwartz SEP-IRA, Schwartz Commercial Realty Defined Ben
Claimant Lawyers(s): Thomas D. Mauriello, Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett Wynne
Arbitrator(s): John H. Knight, Sally G. Williams, Thomas L. Marshall
Hearing Site: San Diego, CA
| | Expungement |
| 09-07047 | 01/29/2013 | Claimant(s): Louis Pitch and Donna Pitch
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Alida D. Camp, Jerome M Shafer, Scott W. Mulford
Hearing Site: New York, NY
| | $2,450,000 |
| 09-07132 | 08/02/2012 | Claimant(s): Daniel Violette, Daniel M. Violette IRA Rollover
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Steven Meyrich, Marc H. Schtul, Edward Allan Hindman
Hearing Site: Denver, CO
| | Expungement |
| 10-01220 | 07/02/2012 | Claimant(s): Louis Lazar
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R Wynne
Arbitrator(s): Patrick Sean Dolan
Hearing Site: Wilmington, DE
| | Expungement |
| 09-06438 | 03/16/2012 | Claimant(s): Nathan Friedlander, Nathan Friedlander & Joan Friedlander, Harris Friedlander Trust U/A DTD 7/25/89
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn Best
Arbitrator(s): R. Lee Britton Jr., Cynthia Lee Traina, Constance K. Barron
Hearing Site: New Orleans, LA
| | Expungement |
| 11-03735 | 01/23/2012 | Claimant(s): Mark Zweber
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Prestige Financial Center.
Respondent Lawyers(s): Larry Kirshbaum
Arbitrator(s): Duane W. Krohnke
Hearing Site: Minneapolis, MN
| | $130,000 |
| 09-06446 | 07/15/2011 | Claimant(s): Deborah Vollstedt, Steve Vollstedt, Steve or Deborah Vollstedt Trust
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Katherine M. Harmeyer, James J. Ashe, James W. Warren
Hearing Site: Albuquerque, NM
| | $323,420 |
