| 19-00262 | 07/11/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Roy Cederfranco
Respondent Lawyers(s): Roy CederFranco
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
| | |
| 17-01716 | 03/25/2019 | Claimant(s): Windsor Street Capital
Claimant Lawyers(s): David A. Schrader
Respondent(s): Barry Jin, Brent Porges, Charles Giaimo, David Sheppard, Joseph Valenti, Matthew Deblois, Matthew Siliato, Maxwell Delaney, Michael LaVolpe, William Leonard
Respondent Lawyers(s): Barry Jin, Brent Morgan Porges, Charles Evan Giaimo, David Leonard Sheppard, M. David Sayid, Matthew Angelo Siliato, Matthew Charles Deblois, Maxwell Topper Delaney, Michael Scott LaVolpe, William McCabe Leonard
Arbitrator(s): Ann C. Northern, Sanford S. Stevens, Donald Nevin Gershuny
Hearing Site: New York, NY
| | |
| 18-01181 | 10/23/2018 | Claimant(s): Eric Diton
Claimant Lawyers(s): Amy B. Bard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
| | |
| 18-00448 | 08/20/2018 | Claimant(s): Robert Rothman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Daniel White
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
| | |
| 17-02224 | 05/17/2018 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Mark Schrader
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
| | |
| 15-02217 | 03/08/2017 | Claimant(s): Lynda Chervil
Claimant Lawyers(s): Lynda Chervil
Respondent(s): David Prendergast, Matthew Winter, Vincent Fusco, Wilford Kavanaugh, Allstate Financial Services
Respondent Lawyers(s): J. Scott Humphrey
Arbitrator(s): Sanford S. Stevens, A. Rene Hollyer, Kim Daly Kelly
Hearing Site: New York, NY
| | |
| 15-00516 | 10/28/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jamie L. Helman
Respondent(s): Scott Fox
Respondent Lawyers(s): Scott Fox
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
| | |
| 15-02512 | 08/03/2016 | Claimant(s): Arthur Degen
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Sanford S. Stevens, Linda J. Baer, Francis Carling
Hearing Site: New York, NY
|  | Dismissed by Rule 12206 |
| 14-02749 | 05/06/2016 | Claimant(s): Global Medical Trans LLC. PSP
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Peter A. Goldman, Sanford S. Stevens, Robert Bartels
Hearing Site: New York, NY
| | $0 |
| 12-02533 | 08/14/2015 | Claimant(s): Estate of Malcolm Schvey
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): Mitchell S. Friedman, Sanford S. Stevens, Sandra Gale Behrle
Hearing Site: New York, NY
| | $427,060 |
