| 14-00401 | 05/07/2015 | Claimant(s): Nicholas Barnes
Claimant Lawyers(s): Adam Weinstein
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Margaret Leggett Tarver, Robert E. Anderson, Richard V. Adams
Hearing Site: Newark, NJ
| | |
| 13-02974 | 12/30/2014 | Claimant(s): Ashraf Elghandour
Claimant Lawyers(s): Brian D. Spector
Respondent(s): James Turner, UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Charles L. Prothero, Chris P. Drucker, Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 12-03047 | 12/04/2014 | Claimant(s): Roni Raviv, Blue Sky Resources
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nicolas S. Komyati
Arbitrator(s): Robert E. Anderson, Deborah A. Shapiro, David A. Schwarz
Hearing Site: New York, NY
|  | Expungement |
| 14-00585 | 10/17/2014 | Claimant(s): The Investment Center.
Claimant Lawyers(s): Douglas A. Wright
Respondent(s): Michael Siegel
Respondent Lawyers(s): Michael Alan Siegel
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 12-04323 | 10/10/2014 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s): Arthur Wiener and Paulette Wiener
Respondent Lawyers(s): Justin D'elia
Arbitrator(s): Jeffrey F. Friedman, Joel P. Mellis, Robert E. Anderson
Hearing Site: New York, NY
| | $0 |
| 13-01805 | 09/11/2014 | Claimant(s): Robert Regna
Claimant Lawyers(s): Jeffrey W. Herrmann
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Robert E. Anderson, S. Charles Tabak, Stanley David Goldman
Hearing Site: Newark, NJ
| | Expungement |
| 12-00699 | 06/11/2014 | Claimant(s): Edward C. Hope IRA by Marilyn Hope sole, Marilyn J. Hope IRA, Hope Irrevocable Grantor Trust by Barbar
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Susan George
Arbitrator(s): Robert E. Anderson, Emily Diamond, Felicia T. Farber
Hearing Site: Newark, NJ
| | Expungement |
| 13-02032 | 02/19/2014 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Francis M. Curran
Respondent(s): Matthew Critelli
Respondent Lawyers(s): Matthew Thomas Critelli
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | |
| 11-02517 | 02/14/2014 | Claimant(s): Charles Lowden
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Anthony Ottimo, Nicholas Bentivegna, Richard Borgner, EKN Financial Services Inc.
Respondent Lawyers(s): Anthony Ottimo, Nicholas Bentivegna, Richard Reiss Borgner, Thomas Giugliano
Arbitrator(s): Julian F. Santos, Salvatore Saladini, Robert E. Anderson
Hearing Site: Newark, NJ
| | $100,000 |
| 12-03577 | 12/27/2013 | Claimant(s): Estate of Paul Cheng
Claimant Lawyers(s): Paul E. Kerson
Respondent(s): Keith Fasano, Emmett A Larkin Company., DPEC Capital., Investprivate.Com.
Respondent Lawyers(s): Eric S. Hutner, Gordon Hing
Arbitrator(s): Theodore Moreines, Robert E. Anderson, Joseph H. Cerame
Hearing Site: New York, NY
| | $0 |
