22-02146 | 05/20/2024 | Claimant(s): The Estate of Adam K. Miller Claimant Lawyers(s): Kevin Conway Respondent(s): Morgan Stanley Respondent Lawyers(s): Tracy L. Gerber Arbitrator(s): Edward Baer, William E. Nuckel, Kenneth Paul Williams Hearing Site: New York, NY
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17-01907 | 04/19/2018 | Claimant(s): Jason Katz Claimant Lawyers(s): Amy Beth Bard Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Craig A. Vollono Arbitrator(s): Harvey Barrison, Edward Baer, Evdokia Sofos Hearing Site: New York, NY
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15-01778 | 05/06/2016 | Claimant(s): Peter Klein Claimant Lawyers(s): David J. Butler Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Stuart T. Rebish Arbitrator(s): Edward Baer, William G. Binckes, Howard L. Sobel Hearing Site: New York, NY
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13-00066 | 11/05/2013 | Claimant(s): Andrew Garrett Inc. Claimant Lawyers(s): Barry M. Bordetsky Respondent(s): Thomas Pfeiffer Respondent Lawyers(s): Thomas Steven Pfeiffer Arbitrator(s): Edward Baer, Allen H. Green, Carolyn A. Mann Hearing Site: New York, NY
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11-04540 | 06/05/2013 | Claimant(s): Harry Jaffe Claimant Lawyers(s): Jonathan Sack Respondent(s): Deutsche Bank Securities. Respondent Lawyers(s): Lloyd B. Chinn Arbitrator(s): Edward Baer, Martin H. Zern, Cheryl H. Agris Hearing Site: New York, NY
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10-04361 | 05/25/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Holdings, LL Claimant Lawyers(s): Joe Gehring Respondent(s): Wells Fargo Advisors, Douglas Carnahan, Lawrence King, Sandra Butler Respondent Lawyers(s): James E. Heavey, Joe Gehring, Scott C. Paton Arbitrator(s): Edward Baer, Roland M. Cavalier, Michael A. Orticelle Hearing Site: Albany, NY
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11-00571 | 05/04/2012 | Claimant(s): Dennis Herman Claimant Lawyers(s): Lawrence R. Gelber Respondent(s): Cheryl Black, Harold Eylward, J.P. Morgan Securities Respondent Lawyers(s): Eugene L. Small Arbitrator(s): Edward Baer, James M. Baumann, Ann C. Northern Hearing Site: New York, NY
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09-03618 | 03/11/2011 | Claimant(s): Emma Zilber, Jason Kim, Leon Zilber Claimant Lawyers(s): George C. Miller Respondent(s): David Yair, Investscape Inc., Penson Financial Services. Respondent Lawyers(s): David Yair, Mark Cuccaro, Michael Langnas Arbitrator(s): Edward Baer, Howard D. Jacob, Joel C. Keilson Hearing Site: New York, NY
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07-01535 | 04/29/2009 | Claimant(s): Wall Street Access Corporation Claimant Lawyers(s): Brian J. Neville Respondent(s): Scott Wertheim, CapTrust Financial Advisors Respondent Lawyers(s): Amie Flower Carmack Arbitrator(s): Paul C. Kurland, Edward Baer, Denzil J. Klippel Hearing Site: New York, NY
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07-02816 | 07/31/2008 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Joseph E. Gehring Respondent(s): UBS Financial Services Inc., Michael Fisher Respondent Lawyers(s): James L. Komie Arbitrator(s): Edward Baer, Carol E. Weir, John N. Polakas Hearing Site: New York, NY
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