| 14-02763 | 12/15/2016 | Claimant(s): Patricia Flock, Shmily Trust U/A dtd 10/04/2000
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): William M. Howard, Donald Dreyfus, Kenneth L. Mann
Hearing Site: Phoenix, AZ
|  | Expungement |
| 14-03440 | 12/01/2016 | Claimant(s): George and Gloria Brooks
Claimant Lawyers(s): Steven D, Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): George S. Willingham, Harvey R. Linder, James C. Hoover
Hearing Site: Atlanta, GA
| | Expungement |
| 14-02694 | 07/15/2016 | Claimant(s): Larry and Carol Wiles, ATBE
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Steven M. Feder, Richard J. Lawrence, Wylie G. Hairgrove
Hearing Site: Denver, CO
| | Expungement |
| 14-00091 | 02/09/2016 | Claimant(s): Rodney Shuck, April C. Shuck JTWROS w/Rodney Shuck
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Robert Charkovsky, William P. Loughnane, Marcus G. Lashley
Hearing Site: Norfolk, VA
| | Expungement |
| 15-00689 | 01/04/2016 | Claimant(s): Alan Gallantar
Claimant Lawyers(s): Allan Gallantar
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Christina Kallas
Hearing Site: New York, NY
| | $0 |
| 15-00386 | 12/30/2015 | Claimant(s): Richard Zinman
Claimant Lawyers(s): Aari Itzkowitz
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): John Daly, Robert E. Anderson, Thomas A. Abitabile
Hearing Site: New York, NY
| | |
| 14-00560 | 08/28/2015 | Claimant(s): Barry Bruck, Enid Bruck, Enid Bruck and Barry Bruck JTWROS
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Monroe Mitchel, Daniel Joseph Chiodo, Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-03758 | 08/06/2015 | Claimant(s): Alexander Walbridge Rumpf, Nancy Cornell Rumpf, Samuel Thayer Rumpf
Claimant Lawyers(s): William R. Lindsley
Respondent(s): Carter Smith, Jeffrey Catlin, Jeffrey Smith, UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jeffrey M. Bain, Harvey Michael Rosenberg, Robert H. Baker
Hearing Site: Cleveland, OH
| | Expungement |
| 14-03544 | 08/04/2015 | Claimant(s): Vaughan Scott
Claimant Lawyers(s): William W. Allen
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Tim V. Young
Hearing Site: Louisville, KY
| | |
| 14-03101 | 06/30/2015 | Claimant(s): Nathan Bard and Monteen Bard
Claimant Lawyers(s): Rob Bleecher
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Steven T. Stern
Hearing Site: Philadelphia, PA
| | $0 |
