| 17-01514 | 11/09/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Robert Pincus
Respondent Lawyers(s): Seth Huberman
Arbitrator(s): John J. Jordan, Anthony V. La Manna, Mary Jane Walk
Hearing Site: Philadelphia, PA
| | |
| 14-02130 | 02/03/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex M. Komoroski
Respondent(s): William Hansen
Respondent Lawyers(s): William Hansen
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
| | |
| 14-00921 | 12/01/2014 | Claimant(s): Thomas Wheeler
Claimant Lawyers(s): Jeff Kern
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
| | |
| 14-00144 | 10/14/2014 | Claimant(s): Benjamin Sax
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): Adam Harris, Susan Harris
Respondent Lawyers(s): Herbert M. Deutsch
Arbitrator(s): Robert Pincus, John B. Myers, Alida D. Camp
Hearing Site: New York, NY
| | Expungement |
| 12-04065 | 06/20/2014 | Claimant(s): Michael O'Hare
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Andrew Totman, Newedge USA
Respondent Lawyers(s): Gary S. Prish
Arbitrator(s): Robert Pincus, Jeffrey Bega, David John Reilly
Hearing Site: New York, NY
| | |
| 12-01113 | 08/19/2013 | Claimant(s): Andrew Schopick
Claimant Lawyers(s): Andrew Schopick
Respondent(s): Fieldpoint Private Securities
Respondent Lawyers(s): Richard Slavin
Arbitrator(s): Robert Pincus, William T. Brice, James Rosenblum
Hearing Site: Hartford, CT
| | |
| 12-01057 | 04/30/2013 | Claimant(s): Mark Snyder
Claimant Lawyers(s): Harold F. McGuire
Respondent(s): Paul Daly, Samuel A. Ramirez & Co..
Respondent Lawyers(s): David A. Picon
Arbitrator(s): Robert Pincus, Robert J. Allen, Douglas A. Eldridge
Hearing Site: Albany, NY
|  | Expungement |
| 11-02771 | 12/05/2012 | Claimant(s): Matthew Ryan
Claimant Lawyers(s): Matthew Ryan
Respondent(s): Edward Zaik, AXA Advisors
Respondent Lawyers(s): Hector D. Geribon, Jessica Levine
Arbitrator(s): Robert Pincus, Timothy A Meigher, Clifford C. Rohde
Hearing Site: Albany, NY
| | $0 |
| 10-04928 | 10/15/2012 | Claimant(s): Michael Steifman
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brian F. Amery
Arbitrator(s): Robert Pincus, James N. Baxter, Eugene G. P. Byrne
Hearing Site: New York, NY
| | $630,357 |
| 10-04080 | 09/11/2012 | Claimant(s): Lehman Brothers Holdings Inc. as assigne
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Robert Reilly
Respondent Lawyers(s): Daniel J. Dwyer
Arbitrator(s): Robert Pincus, Barbara-Ann Boehler, Steven S. Manos
Hearing Site: Boston, MA
| | |
