| 18-00981 | 02/06/2019 | Claimant(s): Charles Cutler
Claimant Lawyers(s): James O'Brien
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael P. O'Mullan
Arbitrator(s): Francis Carling
Hearing Site: New York, NY
| | |
| 15-02443 | 01/29/2019 | Claimant(s): David Lerner Associates.
Claimant Lawyers(s): Gene L. Small
Respondent(s): Charles Margiasso, Daniel Burns, Edward Finocchiaro, Wells Fargo Advisors, Joseph Lafferty, Loreto Testani, Martin Weiss, Michael Rosen, Mitchell Fischer, Timothy Cheriaparampil
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Fred S. Pieroni, Francis Carling, Charles Norman Weinberg
Hearing Site: New York, NY
| | |
| 18-01106 | 11/15/2018 | Claimant(s): Thomas Jordan
Claimant Lawyers(s): David M. White
Respondent(s): Morgan Stanley, Michael Goldberg, Zachary Goldberg
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Francis Carling
Hearing Site: New York, NY
|  | $0 |
| 17-01535 | 05/23/2018 | Claimant(s): Carole Kitrosser
Claimant Lawyers(s): David E. Robbins
Respondent(s): Richard Minichino
Respondent Lawyers(s): Matthew D. Wagoner
Arbitrator(s): Francis Carling
Hearing Site: New York, NY
| | |
| 17-00930 | 10/19/2017 | Claimant(s): Ginji Wang
Claimant Lawyers(s): Grant M. Lally
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Francis Carling
Hearing Site: New York, NY
| | $0 |
| 15-02512 | 08/03/2016 | Claimant(s): Arthur Degen
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Sanford S. Stevens, Linda J. Baer, Francis Carling
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 12-01260 | 08/02/2016 | Claimant(s): Brian Nevel
Claimant Lawyers(s): Brian D. Nevel
Respondent(s): Cristal Baron, James Rice, Rice Financial Products Company
Respondent Lawyers(s): Lisa-Sheri K. Torrence
Arbitrator(s): Linda Yarden, Robert S. Getman, Francis Carling
Hearing Site: New York, NY
| | |
| 08-03790 | 05/10/2011 | Claimant(s): Charles Churchill
Claimant Lawyers(s): Richard J. Braun
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth W. DiGia
Arbitrator(s): Walter M. Schackman, Francis Carling, David R. Foley
Hearing Site: New York, NY
| | |
| 06-04256 | 03/26/2008 | Claimant(s): Elizabeth Schaper, Exec for Armin & Ethe
Claimant Lawyers(s): Jeffrey I Carton
Respondent(s): Citigroup Global Markets., James Ducey, Patricia McGinley, Renuka Nayar
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Andrew H. Freund, Francis Carling, Howard A. Baker
Hearing Site: New York, NY
| | $11,630 |
