14-02876 | 01/27/2016 | Claimant(s): Carlos Valverde Claimant Lawyers(s): Eric Quetglas-Jordan Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): Robert Finder, Richard E. Miley, Peter H. Goldberg Hearing Site: San Juan, PR
| | Expungement |
14-00462 | 12/11/2015 | Claimant(s): Estate of Stanley Stein, Tracy Stein IRA, Laura Weiss Trust, Tracy Stein, PACE, Trust u/w Bonnie R. Stein Claimant Lawyers(s): Gary Menzer Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): Susan C. Lushing, Linda J. Baer, Lawrence H. Teich Hearing Site: New York, NY
| | $0 |
14-00584 | 11/20/2015 | Claimant(s): Nico Phillips Claimant Lawyers(s): Nico Phillips Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): Thomas E. Duggan, Jack Friedman, Sandra J. Mullings Hearing Site: New York, NY
| | $0 |
13-03350 | 11/02/2015 | Claimant(s): Patricia German, Paticia German IRA Claimant Lawyers(s): Barry M. Bordetsky Respondent(s): Morgan Stanley Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): Jacob Aschkenasy, Michael L. Moran, Patricia A. DeWitt Hearing Site: New York, NY
| | Expungement |
13-03115 | 01/30/2015 | Claimant(s): Barry Mankowitz, Barry J. Mankowitz, M.D. IRA Claimant Lawyers(s): Edward A. Paltzik Respondent(s): Morgan Stanley, Morgan Stanley & Co. Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): Lynne M. Reid-McQueen, Mary Lou McGanney, Louis P. Wagman Hearing Site: New York, NY
| | $202,961 |
13-00727 | 11/19/2014 | Claimant(s): Betty Perrine, John Perrine Claimant Lawyers(s): Richard B. Fosher Respondent(s): Morgan Stanley Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): Gary J. Leshaw, Deborah A. Jackson, Robert A. Dean Hearing Site: Atlanta, GA
| | Expungement |
13-03087 | 10/24/2014 | Claimant(s): Beverly S. Krosky Claimant Lawyers(s): Adam J. Weinstein Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): Howard D. Jacob, Kevin P. Feerick, Robert Clifford Boneberg Hearing Site: New York, NY
| | Expungement |
13-02434 | 10/21/2014 | Claimant(s): Seone Miller Claimant Lawyers(s): Karola Crothers Respondent(s): Citigroup Global Markets., James Frank Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): Wendy L. Harris, Linda I. Thomas, Katherine H. O'Neil Hearing Site: Portland, OR
| | $0 |
12-01357 | 11/06/2013 | Claimant(s): Thomas B. Weigand and Irene M. Weigand Claimant Lawyers(s): Ronald M. Rowars Respondent(s): Christopher Sinkula, Citigroup Global Markets., Janney Montgomery Scott LLC Respondent Lawyers(s): Paula D. Shaffner, Sean J. Coughlin Arbitrator(s): James A. Collins, Robert J. Buchner, Paul J. Burkhart Hearing Site: Boca Raton, FL
| | Expungement |
13-00883 | 10/10/2013 | Claimant(s): Sara Mabon Claimant Lawyers(s): Noam Besdin Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): John J. Vesey Hearing Site: New York, NY
| | Expungement |