05-01577 | 03/25/2011 | Claimant(s): Bounty International Limited, Good Regent International Limited, Wisdom Century Development Limited Claimant Lawyers(s): Theodore G. Eppenstein Respondent(s): Goldman, Sachs and Company Respondent Lawyers(s): Michael J. Dell Arbitrator(s): Joel P. Mellis, Mindi R. Parrott Hearing Site: New York, NY
| | $0 |
09-04396 | 10/25/2010 | Claimant(s): David Steiner Claimant Lawyers(s): Matthew W. Woodruff Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Matthew F. Dexter Arbitrator(s): Barry Feiden, Mindi R. Parrott, James Anthony Maccaro Hearing Site: New York, NY
| | $300 |
08-00752 | 10/21/2009 | Claimant(s): John Deakin Claimant Lawyers(s): Nicholas J Guiliano Respondent(s): James Pecoraro, John Parmigiani, J.P. Turner & Company, L.L.C., Reagan Financial Group Respondent Lawyers(s): Compliance Officer, Jonathan A. Kurta Arbitrator(s): Kenneth L. Stewart, Jill I. Gross, Mindi R. Parrott Hearing Site: New York, NY
| | Stipulated Award and Expungement |