09-03551 | 11/18/2010 | Claimant(s): J.P. Turner & Company, L.L.C. Claimant Lawyers(s): Eric J. Dec Respondent(s): Mitchell Sloane Respondent Lawyers(s): Mitchell Harris Sloane Arbitrator(s): Sandra J. Mullings, Jan Louise Ulman, Joseph M. Buffone Hearing Site: New York, NY
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09-03015 | 11/03/2010 | Claimant(s): Josephine Pignato Claimant Lawyers(s): Jenice L. Malecki Respondent(s): Capital One Investment Services Corp Respondent Lawyers(s): Todd Ratner Arbitrator(s): Sandra J. Mullings Hearing Site: New York, NY
| | $73,281 |
08-01194 | 07/01/2010 | Claimant(s): Trident Partners Ltd Claimant Lawyers(s): Eugene L. Small Respondent(s): Brian Schantz, Edward Flynn, Francine Lanaia, Timothy Flynn, Alexander Capital, L.P. Respondent Lawyers(s): Carl Lanzisera, Eugene L. Small, Francine A. Lanaia Arbitrator(s): Sandra J. Mullings, Anthony J. Raimondi, Richard C. Bell Hearing Site: New York, NY
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09-01482 | 06/16/2010 | Claimant(s): Stew Bird, Susan Bird Claimant Lawyers(s): Stewart Bird Respondent(s): Kevin O'Leary, Alliance Berstein, L.P., Bernstein Global Wealth Management, Sanford C. Bernstein & Co. Respondent Lawyers(s): Sean M. Murphy Arbitrator(s): Hugh N. Fryer, Sandra J. Mullings, Anthony J. Raimondi Hearing Site: New York, NY
| | $0 |
09-01893 | 02/04/2010 | Claimant(s): Carol Belinkie Claimant Lawyers(s): Carol I. Belinkie Respondent(s): Thomas Hill Respondent Lawyers(s): Steven G. Leventhal Arbitrator(s): Sandra J. Mullings Hearing Site: New York, NY
| | Expungement |
09-01949 | 10/19/2009 | Claimant(s): Sidney Printz Claimant Lawyers(s): James A. Dunlap Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Evelyn C. Best Arbitrator(s): Sandra J. Mullings Hearing Site: New York, NY
| | $15,297 |
08-00319 | 07/06/2009 | Claimant(s): Christian Martin Claimant Lawyers(s): Gregory Vidler Respondent(s): Banc of America Securities LLC Respondent Lawyers(s): Mark A. Nebrig Arbitrator(s): Mary L. Merkle, Sandra J. Mullings, Richard Lee Mansdoerfer Hearing Site: New York, NY
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07-03151 | 05/07/2009 | Claimant(s): Eric Serfaty Claimant Lawyers(s): Michael C. Deutsch Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Michael Riordan Arbitrator(s): Sandra J. Mullings, Jonathan L. Goldfarb, Nancy Kramer Hearing Site: New York, NY
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07-02676 | 09/24/2008 | Claimant(s): Sophie Rothstein Claimant Lawyers(s): Edward Rothstein Respondent(s): Joel Chase, UBS Financial Services Inc., Richard Fitzburgh Respondent Lawyers(s): Dan A. Rosenbaum, Danl A. Rosenbaum Arbitrator(s): Vicki R. Lawrence, Sandra J. Mullings Hearing Site: New York, NY
| | $0 |
07-00359 | 04/18/2008 | Claimant(s): Caren Bass Claimant Lawyers(s): Caren M. Bass Respondent(s): Citigroup. Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Sandra J. Mullings, Elizabeth B. Head, Bartley F. Flaherty Hearing Site: New York, NY
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