| 13-02938 | 08/25/2014 | Claimant(s): Brett Hina, David Marshall, Matthew Boynton, Robert Hutchinson
Claimant Lawyers(s): Brian J. Ellis
Respondent(s): UBS Financial Services.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | |
| 13-00264 | 07/24/2014 | Claimant(s): Norma Peters and Craig Shields
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Pamela H. Roderick, Sandra J. Mullings, Joseph I. Liebman
Hearing Site: New York, NY
|  | Expungement |
| 13-02036 | 07/11/2014 | Claimant(s): Rolf Hanggi
Claimant Lawyers(s): Sam Schwartz
Respondent(s): Emilio Disanluciano, Frank Mazzola, Felix Investments LLC
Respondent Lawyers(s): Aegis Frumento, Richard J. Babnick, Susan Diamond
Arbitrator(s): Arnold Wagner, Sandra J. Mullings, Robert J. Miller
Hearing Site: New York, NY
| | $0 |
| 12-03312 | 11/22/2013 | Claimant(s): Cynthia Shaw
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Polina M. Dostalik
Arbitrator(s): Richard W. Cutler, Sandra J. Mullings, David Serko
Hearing Site: New York, NY
| | $600 |
| 11-00683 | 09/27/2013 | Claimant(s): Harry Friedman
Claimant Lawyers(s): Daniel Hirschel
Respondent(s): Ridge Clearing & Outsourcing Solutions
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): Richard D. Chusid, Sandra J. Mullings, Lowell D. Johnston
Hearing Site: New York, NY
| | |
| 11-04681 | 09/18/2013 | Claimant(s): Roger Davidson, Redwood F Trust, Redwood II F Trust, FBO Naomi Davidson, FBO William Davidson, Redwood II Trust, Robin II Trust, Roger C. Davidson Revocable Trust
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Romaine L. Gardner, Sandra J. Mullings, Joan Marie Chiusano
Hearing Site: New York, NY
| | Expungement |
| 10-05618 | 05/08/2013 | Claimant(s): Cheryl Star
Claimant Lawyers(s): David M. White
Respondent(s): John Magnesio, UBS Financial Services Inc., Steven Kyriakos
Respondent Lawyers(s): Amy Bard
Arbitrator(s): Sandra J. Mullings, Madelyn A. Levy, Myrna E. DeJesus
Hearing Site: New York, NY
| | Expungement |
| 12-03706 | 04/18/2013 | Claimant(s): A. R. Schmeidler & Co..
Claimant Lawyers(s): Timothy Coon
Respondent(s): UBS Financial Services Inc., Michael Kahn
Respondent Lawyers(s): James Komie, Louis Lagalante
Arbitrator(s): Sandra J. Mullings, Cynthia A. DiMarco, Mark J. Happe
Hearing Site: New York, NY
| | |
| 11-00072 | 02/20/2013 | Claimant(s): Nina Vayner
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Joseph Scali, Obsidian Financial Group
Respondent Lawyers(s): Joseph Giuseppe Scali, Martin P. Unger
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | $49,601 |
| 11-04079 | 12/06/2012 | Claimant(s): Lea Slote
Claimant Lawyers(s): Lea Slote
Respondent(s): Bruce Glassberg, Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Sandra J. Mullings, Ira S. Cure, Christine Moore
Hearing Site: New York, NY
| | $0 |
