| 23-01506 | 11/15/2024 | Claimant(s): Richard Rubin
Claimant Lawyers(s): David Vermont
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alexandros Diplas
Arbitrator(s): Lynne M. Reid-McQueen, Mitchell H Rubinstein, Peter D.C. Mason
Hearing Site: New York, NY
|  | Expungement |
| 14-01086 | 11/05/2015 | Claimant(s): Kostantina Bourdev
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey A. Wortman
Arbitrator(s): Richard L. Rubin, Robert Mallin Hirsch, Roger Gilbert
Hearing Site: San Francisco, CA
| | |
| 12-02202 | 07/21/2014 | Claimant(s): Annette Liebergesell, Bernd Liebergesell, Daniel White, Donald Bill, Gloria Bill, Dan White Revocable Living Trust, The Bill Family Trust dtd Nov. 05, 2003
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Dennis Pettinelli, Signator Investors., Wells Investment Securities.
Respondent Lawyers(s): Gregory T. Fayard, Marc V. Allaria, Richard B. Hopkins
Arbitrator(s): Richard L. Rubin, Pamela S. Mann, Shawn Ridgell
Hearing Site: San Francisco, CA
| | Expungement |
| 12-02751 | 11/22/2013 | Claimant(s): Christopher Gaertner, Jacqueline Gaertner
Claimant Lawyers(s): David E. Bamberger
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John P. Bevilacqua
Arbitrator(s): Richard L. Rubin, Paul D. Gutierrez, Ronald Chun
Hearing Site: San Francisco, CA
| | Expungement |
| 11-01424 | 07/12/2013 | Claimant(s): Mary Anne Barreiro
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Anthony Vlahiotis, George Carathimas, Ameritas Investment Corp.
Respondent Lawyers(s): David Wakukawa, Louis H. Castoria, Richard Sacks
Arbitrator(s): Richard L. Rubin, Nick G. Tarlson, George King
Hearing Site: San Francisco, CA
| | Expungement |
| 12-01119 | 02/25/2013 | Claimant(s): Cindi L. Grauer, Robert W. Grauer
Claimant Lawyers(s): Robert W. Grauer
Respondent(s): Delphi Wealth Advisors
Respondent Lawyers(s): Steven P. Grager
Arbitrator(s): Richard L. Rubin, Donald S. Green, John B. Weingart
Hearing Site: San Francisco, CA
| | $109,855 |
| 10-03885 | 06/28/2012 | Claimant(s): Jeffrey Colflesh, Lora Colflesh, Jeffrey Colflesh IRA, Lora Colflesh IRA, Colflesh Trusts
Claimant Lawyers(s): James R. Walsh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stacy Grant
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Richard L. Rubin, Jerold R. Babin, Mark R. Topper
Hearing Site: San Francisco, CA
| | Expungement |
| 10-02759 | 10/14/2011 | Claimant(s): Saadeh Corporation
Claimant Lawyers(s): Richard M Osborne
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Richard L. Rubin, Gary H. Kahn, James Edward Forbes
Hearing Site: San Francisco, CA
| | $0 |
| 09-03867 | 09/06/2011 | Claimant(s): Patricia Neel
Claimant Lawyers(s): George S. Trevor
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan-Cona
Arbitrator(s): Richard L. Rubin, Juleanne A. Thiebaut, Mark R. Topper
Hearing Site: San Francisco, CA
| | $0 |
| 06-00479 | 12/17/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David James Smith
Respondent(s): Richard Rubin
Respondent Lawyers(s): Michael S. Taaffe
Arbitrator(s): Thomas R. Maimone, Frank Nussbaum, Joel F. Martineau
Hearing Site: Boca Raton, FL
| | |
