| 16-00758 | 05/19/2017 | Claimant(s): Deron Goodwin
Claimant Lawyers(s): Jonathan Sack
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Ivan W. Harper, Nancy Kramer, Robert Francis Geary
Hearing Site: New York, NY
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| 14-00740 | 06/13/2016 | Claimant(s): Gianluca Passaretta
Claimant Lawyers(s): Blaine H. Bortnick
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Ilene Barbara Zatkin-Butler, Denise L. Quarles, John Caracciolo
Hearing Site: New York, NY
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| 13-02084 | 02/26/2016 | Claimant(s): Jonathan Jacoby
Claimant Lawyers(s): Laurence S. Moy
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Leah G. Rabinowitz, Margarita Echevarria, Nancy Kramer
Hearing Site: New York, NY
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| 13-03223 | 02/05/2016 | Claimant(s): Nwakerendu Uche
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): George Sommerfeld, Lynne M. Reid-McQueen, Edward W. Morris
Hearing Site: New York, NY
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| 13-01652 | 06/24/2014 | Claimant(s): Sergio Zanini
Claimant Lawyers(s): Sherry M. Shore
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Bernard M. Levine, Stephen J. Patti, Michael Jaffe
Hearing Site: New York, NY
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| 13-01319 | 04/01/2014 | Claimant(s): Gregory Shaia
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Moelis & Company LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Michael B. Mukasey
Hearing Site: New York, NY
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| 13-00141 | 03/06/2014 | Claimant(s): Jeffrey Sparks
Claimant Lawyers(s): David Marek
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Linda Yarden, Martin H. Zern, Barbara Sullivan-Parry
Hearing Site: New York, NY
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| 11-04540 | 06/05/2013 | Claimant(s): Harry Jaffe
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Edward Baer, Martin H. Zern, Cheryl H. Agris
Hearing Site: New York, NY
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| 11-02705 | 03/01/2013 | Claimant(s): Gregory Morris
Claimant Lawyers(s): Robert Kraus
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Martin Jay Siegel, Nancy S. Gerber, Barry Steven Port
Hearing Site: New York, NY
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| 08-04888 | 10/20/2010 | Claimant(s): Stephen Finkelstein
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): UBS Securities LLC, UBS Global Asset Management (US) Inc.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Earl S. Schwarz, Howard D. Jacob, Peter A. Kiefer
Hearing Site: New York, NY
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