| 15-00953 | 05/16/2018 | Claimant(s): Alexander Beigelman
Claimant Lawyers(s): Linda D. Friedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Kenneth L. Stewart, Karen Isabel Bedrosian - Richardson, Martin Deignan Dehler
Hearing Site: New York, NY
| | |
| 14-01476 | 04/25/2016 | Claimant(s): Ilan Preis
Claimant Lawyers(s): Ilan Preis
Respondent(s): Avi Jankelovits, Blair Nelson, Christopher Alexis, Citigroup Global Markets., Robert Papaleo
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Kenneth L. Stewart, Elizabeth Gilbert, Michael S. Perinelli
Hearing Site: New York, NY
| | |
| 13-03433 | 02/11/2015 | Claimant(s): Nicholas Cacace
Claimant Lawyers(s): Nicholas Cacace
Respondent(s): MetLife Securities Inc
Respondent Lawyers(s): Wendy J. Mellk
Arbitrator(s): Joseph A. Vallo, Kenneth L. Stewart, John F. Duane
Hearing Site: New York, NY
| | |
| 09-06379 | 11/16/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Richard Rothenberg
Respondent Lawyers(s): Jonathan Sack
Arbitrator(s): David N. Brainin, Kenneth L. Stewart, Catherine I. Gulevich
Hearing Site: New York, NY
| | |
| 08-00752 | 10/21/2009 | Claimant(s): John Deakin
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): James Pecoraro, John Parmigiani, J.P. Turner & Company, L.L.C., Reagan Financial Group
Respondent Lawyers(s): Compliance Officer, Jonathan A. Kurta
Arbitrator(s): Kenneth L. Stewart, Jill I. Gross, Mindi R. Parrott
Hearing Site: New York, NY
|  | Stipulated Award and Expungement |
| 07-01138 | 07/01/2008 | Claimant(s): Helen-Carolyn Ackerly
Claimant Lawyers(s): W. Alexander Melbardis
Respondent(s): Gilford Securities Incorporated
Respondent Lawyers(s): Michael Kalmus
Arbitrator(s): Joseph B. Russell, Kenneth L. Stewart, Joseph R. Brancaleone
Hearing Site: New York, NY
| | $58,000 |
| 99-03196 | 09/12/2007 | Claimant(s): Estate of Edward A. Cantor
Claimant Lawyers(s): Michael M. Cantor
Respondent(s): Jeffrey Grayson, Gibraltar Securities Co., Equitable Distributors., Hartford Insurance Co.
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Philip M. Mandel, Kenneth L. Stewart, Kent L. Benziger
Hearing Site: New York, NY
| | $0 |
