| 15-02115 | 05/17/2016 | Claimant(s): Moussa Sarwa, Touneh Sarwa
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Betty Chen, Stephen M. Schaedtler, Mary Julia O'Connell
Hearing Site: New York, NY
|  | Dismissed by Rule 12206 |
| 12-04298 | 09/10/2014 | Claimant(s): Rajinder Bhatia
Claimant Lawyers(s): Alice Holly Oshins
Respondent(s): Ameriprise Financial Services., Jared Cohen
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Alfred H. Kingon, James M. Rhodes, Stephen M. Schaedtler
Hearing Site: New York, NY
| | Expungement |
| 10-05823 | 04/30/2014 | Claimant(s): Judith Glaser
Claimant Lawyers(s): Theodore M. Davis
Respondent(s): Robert Ainbinder, First Montauk Securities Corp.
Respondent Lawyers(s): Robert I. Rabinowitz, Todd A. Zuckerbrod
Arbitrator(s): Hugh N. Fryer, Myrna E. DeJesus, Stephen M. Schaedtler
Hearing Site: New York, NY
| | Expungement |
| 10-02967 | 08/28/2013 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Harry Friedman, Marc Reda, John Thomas Financial
Respondent Lawyers(s): Harry Friedman, Robert M. Bursky
Arbitrator(s): Joseph R. Brancaleone, Denise N. Seegobin, Stephen M. Schaedtler
Hearing Site: New York, NY
| | |
