| 19-00764 | 08/16/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Bruce M. Lewitas
Respondent(s): Joseph Smith
Respondent Lawyers(s): Joseph Smith
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 18-04390 | 08/14/2019 | Claimant(s): Jeffey Nedley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): PNC Investments
Respondent Lawyers(s): Frederic L. Lieberman
Arbitrator(s): Robert E. Anderson
Hearing Site: Pittsburgh, PA
| | |
| 18-03581 | 08/05/2019 | Claimant(s): Morgan Stanley, Joseph Goscienski
Claimant Lawyers(s): Heather B. Middleton
Respondent(s): Kamel Kazan
Respondent Lawyers(s): Kamel Kazan
Arbitrator(s): Fred S. Pieroni, Robert E. Anderson, Carl Mario Martorano
Hearing Site: Newark, NJ
|  | Expungement |
| 18-02396 | 07/19/2019 | Claimant(s): Fabio della Sala
Claimant Lawyers(s): Fabio della Sala
Respondent(s): Alberto Ottaviani, Anatole Forostenko
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Robert E. Anderson, Howard Alan Grinsberg, Thomas M. Flohr
Hearing Site: New York, NY
| | $40,000 |
| 18-00380 | 06/24/2019 | Claimant(s): Jeffrey Boudjouk
Claimant Lawyers(s): Jeffrey L. Levy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Mary C. Kelleher, Robert E. Anderson, Nicholas Trott Long
Hearing Site: Providence, RI
| | |
| 18-04299 | 06/12/2019 | Claimant(s): Robert Craig
Claimant Lawyers(s): Howard B. Levi
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. O'Connor
Arbitrator(s): Robert E. Anderson, Kimberly C. Lawrence, Bertrand Charles Sellier
Hearing Site: New York, NY
| | |
| 18-03926 | 05/16/2019 | Claimant(s): Keith Steidle
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): Nationwide Planning Associates Inc.
Respondent Lawyers(s): Michael J. Karalewich
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 17-03428 | 05/08/2019 | Claimant(s): Herman Fuchs, Mina Fuchs
Claimant Lawyers(s): Brad S. Maistrow
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Robert E. Anderson, Edward W. Morris, Sylvia Kaminsky
Hearing Site: Newark, NJ
| | $0 |
| 17-02473 | 03/21/2019 | Claimant(s): Betty Steinhorn TOD, Michael Steinhorn, Robert Steinhorn
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | $24,000 |
| 17-02384 | 03/19/2019 | Claimant(s): Harriett Chomen, Ira Fink
Claimant Lawyers(s): James P. Galvin
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | Expungement |
