| 16-00381 | 05/11/2017 | Claimant(s): Mark Bell
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Bertrand M. Lanchner, Stephen A. Weiner, Marion F. Posner
Hearing Site: New York, NY
|  | $0 |
| 11-00909 | 11/13/2015 | Claimant(s): Gordon Group Investments
Claimant Lawyers(s): Gregory J. Hollon
Respondent(s): Fortis Securities LLC
Respondent Lawyers(s): James R. Levine
Arbitrator(s): Edwin S. Mruk, Bertrand M. Lanchner, Michele S. Riley
Hearing Site: New York, NY
| | $11,333,000 |
| 13-01343 | 07/06/2015 | Claimant(s): John Boris
Claimant Lawyers(s): Kevin M. Kiernan
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Kip C. Lubcke, Camille S. Cooper, Bertrand M. Lanchner
Hearing Site: New York, NY
| | |
| 14-00162 | 05/22/2015 | Claimant(s): Ahmed Hussein
Claimant Lawyers(s): Stephen E. Morrissey
Respondent(s): UBS Financial Services Inc., UBS International Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Bertrand M. Lanchner, Joseph I. Liebman, Phillip Weitzman
Hearing Site: New York, NY
| | $2,000,000 |
| 13-00486 | 10/21/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Brian Burns, Christopher Kete, Michael Marchiano, William Shinners
Respondent Lawyers(s): Alan S. Brodherson, Michael S. Kasanoff
Arbitrator(s): Mitchell S. Friedman, Bertrand M. Lanchner, Chris P. Drucker
Hearing Site: Newark, NJ
| | |
| 10-01344 | 06/23/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D. Weinreich
Respondent(s): Elliott Wislar
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s): Greg Plifka, Bertrand M. Lanchner, Bryan David Glass
Hearing Site: Newark, NJ
| | |
