| 18-04246 | 07/08/2019 | Claimant(s): Stephanie Stiefel, Neuberger Berman BD LLC
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Paulette Mintz, The Ginger Trust
Respondent Lawyers(s): Kearey Wan
Arbitrator(s): David S. Billet, Linda Yarden, Wayne I. Harris
Hearing Site: New York, NY
|  | Expungement |
| 16-02881 | 05/09/2019 | Claimant(s): Manuel Velez De Jesus, Mavel Corp.
Claimant Lawyers(s): August Iorio
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto Quinones
Arbitrator(s): Gerald H. Grayson, Bernard Lieberman, Wayne I. Harris
Hearing Site: New York, NY
| | Expungement |
| 17-01713 | 08/28/2018 | Claimant(s): Lawrence Sangirardi
Claimant Lawyers(s): David E. Mollon
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Susan C. Lushing, Wayne I. Harris, Vincent Mark Riccordella
Hearing Site: New York, NY
| | |
| 17-01731 | 12/12/2017 | Claimant(s): James Guber
Claimant Lawyers(s): James Lee Guber
Respondent(s): FBR Capital Markets & Co.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Wayne I. Harris
Hearing Site: New York, NY
| | |
| 11-00673 | 10/10/2012 | Claimant(s): Lawrence S. Deitch SEP, Lawrence S. Deitch & Andrea W. Deitch Jo
Claimant Lawyers(s): Joseph A. Sack
Respondent(s): Jeremy Kramer, Marvin Schwartz, Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Denzil J. Klippel, Veronica Ann Williams, Wayne I. Harris
Hearing Site: New York, NY
| | $0 |
| 09-03651 | 11/05/2010 | Claimant(s): Anne Flannery, Francis Flannery
Claimant Lawyers(s): Michael C. Deutsch
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bryan I. Reyhani
Arbitrator(s): Robert Youdelman, Jeffrey F. Friedman, Wayne I. Harris
Hearing Site: New York, NY
| | $0 |
