| 15-00286 | 04/12/2016 | Claimant(s): Alan Silverstein, Karen Silverstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Cutler, James S. Hazard, Ronald F. Rosner
Hearing Site: New York, NY
|  | $0 |
| 15-01463 | 04/08/2016 | Claimant(s): Stephanie Kelly
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew E. Gelfand
Arbitrator(s): James S. Hazard, Clarence Smith, Cirino M. Bruno
Hearing Site: New York, NY
| | |
| 15-00372 | 04/08/2016 | Claimant(s): Ileane Scopinsky, Sheldon Scopinsky
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Leah G. Rabinowitz, Rena E. Grossfield, James S. Hazard
Hearing Site: New York, NY
| | $0 |
| 15-01276 | 01/12/2016 | Claimant(s): Jerry Stroud
Claimant Lawyers(s): Frank J. Cuccio
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Deborah Burstein
Arbitrator(s): Sandra D. Parker, James S. Hazard, John K. Evans
Hearing Site: New York, NY
| | |
| 14-01610 | 11/06/2015 | Claimant(s): Thomas Majewski
Claimant Lawyers(s): Jonathan Sack
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Don A. Innamorato
Arbitrator(s): Joseph N. Stineman, James S. Hazard, Linda Ashley
Hearing Site: New York, NY
| | |
| 13-03293 | 05/29/2015 | Claimant(s): Mildred Rothschild, Victor Bonchek, Mildred Rothschild 2007 Trust
Claimant Lawyers(s): Peter M. Spett
Respondent(s): Aaron Heimowitz, Joseph Mangiapane, Kathleen McPherson, Newport Coast Securities.
Respondent Lawyers(s): Aaron Leonard Heimowitz, Dan Druz, Daniel Scott Furst
Arbitrator(s): Lincoln W. Craighead, James S. Hazard, Leonard P. Novello
Hearing Site: New York, NY
| | $403,162 |
| 14-00021 | 02/23/2015 | Claimant(s): Casto Colldelrio
Claimant Lawyers(s): Sharron E. Ash
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc Of PR
Respondent Lawyers(s): Dan Rosenbaum
Arbitrator(s): James S. Hazard, Mary P. Bass, Paul George Huck
Hearing Site: New York, NY
| | |
| 11-03021 | 02/28/2013 | Claimant(s): Kenneth Motz
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Martin Hunger, James S. Hazard, Richard Bemporad
Hearing Site: New York, NY
| | |
| 09-00878 | 01/30/2013 | Claimant(s): US Airways.
Claimant Lawyers(s): Robert W. Henoch
Respondent(s): Oppenheimer & Co.., Vincent Woo
Respondent Lawyers(s): Suzan Jo, Thomas J. Hennessey
Arbitrator(s): Catherine I. Gulevich, James S. Hazard, Ellyn S. Roth
Hearing Site: New York, NY
| | $30,000,000 |
| 10-02284 | 09/06/2011 | Claimant(s): Mitchell Asch
Claimant Lawyers(s): Mitchell Lawrence Asch
Respondent(s): Raymond, James & Associates., Peter Delahunt
Respondent Lawyers(s): Ann M. Hensler
Arbitrator(s): Harvey Barrison, James S. Hazard, Susan Mills Richmond
Hearing Site: New York, NY
| | |
