| 14-02119 | 09/04/2015 | Claimant(s): Paul Schimmeck
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): John B. Morgan, Howard J. Stiefel, Martin A. Edelstein
Hearing Site: New York, NY
| | |
| 10-00221 | 05/09/2012 | Claimant(s): Charles Baltic
Claimant Lawyers(s): Charlotte Houghteling
Respondent(s): CRT Capital Group LLC
Respondent Lawyers(s): Myles K. Bartley
Arbitrator(s): John B. Morgan, Howard L. Sobel, Seymour Stanton
Hearing Site: New York, NY
| | |
| 11-00311 | 04/16/2012 | Claimant(s): Shearman, Ralston Inc.
Claimant Lawyers(s): Caren S. Brutten
Respondent(s): Ridge Clearing & Outsourcing Solutions
Respondent Lawyers(s): Jonathan Kurta
Arbitrator(s): John B. Morgan, Fred Shinagel, Anthony Charles Ginetto
Hearing Site: New York, NY
| | |
| 09-01013 | 10/30/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Adam Lazarus
Respondent Lawyers(s): Adam Robert Lazarus
Arbitrator(s): John B. Morgan
Hearing Site: New York, NY
| | |
| 08-03225 | 05/05/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Michelle Feeley
Respondent Lawyers(s): Michelle Murphy Feeley
Arbitrator(s): John B. Morgan, Joseph M. Buffone, Preston V. Pumphrey
Hearing Site: New York, NY
| | |
| 03-09099 | 01/28/2008 | Claimant(s): Barbara King, The Barbara King Family Trust
Claimant Lawyers(s): Brian Maas
Respondent(s): David Kotowski, David Savetz, UBS Financial Services Inc.
Respondent Lawyers(s): David C. Franceski, David Katowski
Arbitrator(s): Constantine N. Katsoris, John B. Morgan, Alan R. Sloate
Hearing Site: New York, NY
|  | $1,750,000 |
