| 21-00109 | 02/22/2023 | Claimant(s): David Watkins
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Christopher Amo, UBS Financial Services Inc.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Carole R. Bernstein, Daniel Robbins, Charlane Brown
Hearing Site: New York, NY
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| 13-01895 | 09/24/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Evan Sall
Respondent Lawyers(s): Michael Kalmus
Arbitrator(s): David E. Robbins, Howard L. Sobel, Carole R. Bernstein
Hearing Site: New York, NY
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| 10-05426 | 09/23/2011 | Claimant(s): Douglas Woodham
Claimant Lawyers(s): Paul T. Shoemaker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Martin L. Feinberg, Carole R. Bernstein, David Serko
Hearing Site: New York, NY
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| 09-03087 | 12/29/2010 | Claimant(s): Marcus Ribka
Claimant Lawyers(s): Maryana A. Kodner
Respondent(s): SG Americas Securities
Respondent Lawyers(s): Michael Delikat
Arbitrator(s): Harold I. Geringer, Brian J. Burstin, Carole R. Bernstein
Hearing Site: New York, NY
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| 07-02726 | 03/26/2009 | Claimant(s): Ridge Clearing & Outsourcing Solutions,
Claimant Lawyers(s): Howard Schiffman
Respondent(s): Arjent Ltd., Arjent Services LLC, Arjent Limited
Respondent Lawyers(s): Andrew Goodman
Arbitrator(s): Donald J. Rasweiler, Burton M. Fendelman, Carole R. Bernstein
Hearing Site: New York, NY
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| 07-00131 | 06/20/2008 | Claimant(s): Michael Ziegelbaum
Claimant Lawyers(s): Michael Burrows
Respondent(s): MarkeAxess Holdings. f/k/a Martket, Marketaxess Corporation
Respondent Lawyers(s): David A. Picon, Kenneth E. Aldous
Arbitrator(s): Frank M. Suttell, Carole R. Bernstein, Alun Hywel Jones
Hearing Site: New York, NY
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