| 22-00735 | 03/27/2024 | Claimant(s): Patrick McWalter
Claimant Lawyers(s): William Bean
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Ted M. Rosen
Hearing Site: New York, NY
| | |
| 22-00164 | 05/05/2023 | Claimant(s): Steven Kurzet
Claimant Lawyers(s): Scott A. Shanes
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Joseph Winter, Jay H. Feldstein, Richard Kent Mahrle
Hearing Site: Las Vegas, NV
|  | $0 |
| 19-01935 | 07/06/2021 | Claimant(s): Noemi Escobar & Jose Betances TTEE
Claimant Lawyers(s): Bruce H. Nagel
Respondent(s): Morgan Stanley, Wade Martin, Comerica Bank
Respondent Lawyers(s): Francis P. Maneri, Joseph A. Sack, Sean J. Coughlin
Arbitrator(s): Catherine Stewart, Jay Alan Kranis, Avram B Segall
Hearing Site: Jersey City, NJ
| | Expungement |
| 18-01553 | 02/26/2019 | Claimant(s): Irvin Rosenzweig
Claimant Lawyers(s): Christopher Coss
Respondent(s): UBS Financial Services Inc., PNC Investments
Respondent Lawyers(s): Frederic L. Liberman, Sean J. Coughlin
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
| | |
| 16-00880 | 01/07/2019 | Claimant(s): Manuel Ojeda, Professional Equipment Corp.
Claimant Lawyers(s): Normarie Rodriguez-Perez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto C. Quinones, Sean J. Coughlin
Arbitrator(s): Seth L. Finkel, Will Murphy, Thomas Richard Blake
Hearing Site: San Juan, PR
| | Expungement |
| 15-03264 | 10/29/2018 | Claimant(s): Jose Pastrana
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto C. Quinones, Sean J. Coughlin
Arbitrator(s): Myron E. Levenson, Matthew Reid Krell, Robert Eugene Doyle
Hearing Site: San Juan, PR
| | $564,560 |
| 17-01297 | 07/23/2018 | Claimant(s): Christopher Eriksson
Claimant Lawyers(s): Ross D. Carmel
Respondent(s): Citigroup Global Markets., Paul Ulanich
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | $30,000 |
| 16-03148 | 04/09/2018 | Claimant(s): Scott Feldman, The Scott H & Janet J Feldman Rev. Trust
Claimant Lawyers(s): Michael S. Burg
Respondent(s): UBS Financial Services Inc., Michael Keane
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Jay Alan Kranis, Lorrie E Whitfield, Lorraine Marie Brennan
Hearing Site: New York, NY
| | $805,120 |
| 17-00545 | 12/21/2017 | Claimant(s): Thomas McInerney
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson, Sean J. Coughlin
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
| | |
| 15-00010 | 05/03/2017 | Claimant(s): Steven Griff
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Robert T. Allen, John A. Baynes, Brock B. Gordon
Hearing Site: Charlotte, NC
| | $0 |
