| 23-01628 | 06/07/2024 | Claimant(s): George Koutsos, Alma Industries Inc., GJK Group
Claimant Lawyers(s): Richard Diorio
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, Lawrence Burke
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Michael Jaffe, Ronald Harris Kisner, Gregg Lance Zeoli
Hearing Site: New York, NY
|  | $0 |
| 19-01633 | 04/13/2022 | Claimant(s): Jeanne Capasse, Thomas Capasse
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): Michael Jaffe, Edmund Timothy Donovan, Sean Farrow
Hearing Site: New York, NY
| | Expungement |
| 19-00628 | 10/13/2021 | Claimant(s): Anita Karsch, Estate of Alvin Ralph Karsch
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Morgan Stanley, Roxann Romano
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Richard A. Cini, Michael Jaffe, Brian John Gallagher
Hearing Site: New York, NY
| | Expungement |
| 19-01410 | 03/12/2021 | Claimant(s): Sherrie Pellini TTee of Sherrie Pellini
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Michael Jaffe, Vaughn Norman Browne, Gerald M. Levine
Hearing Site: New York, NY
| | $0 |
| 19-03171 | 02/24/2021 | Claimant(s): Scott Eichel
Claimant Lawyers(s): Todd A. Gutfleisch
Respondent(s): NatWest Markets Securities Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Michael Jaffe, John K. Evans, Wallace Anthony Showman
Hearing Site: New York, NY
| | |
| 18-00227 | 03/28/2019 | Claimant(s): Christine Schlosser
Claimant Lawyers(s): Kelly Pressler
Respondent(s): Dean Heinemann, Clayborne Group LLC
Respondent Lawyers(s): David R. Wise
Arbitrator(s): Kenneth R. Hotopp, Ira A. Auerbach, Michael Jaffe
Hearing Site: Albany, NY
| | $250,000 |
| 15-03256 | 03/02/2018 | Claimant(s): Estate of Barbara Weiden Schwartz Fischl
Claimant Lawyers(s): Douglas Desjardins
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert Serota
Arbitrator(s): John F. Duane, Linda J. Baer, Michael Jaffe
Hearing Site: New York, NY
| | $0 |
| 13-03666 | 05/20/2015 | Claimant(s): Vincent Albanese, Albanese Battery Place, VMA Realty I Partners LLC, VMA Realty II Partners LLC, VMA/NA Realty, The Niki and Vincent M. Albanese 2012 Gr
Claimant Lawyers(s): Mario Aieta
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): James J. Fishman, Michael Jaffe, Fei K. Tsum
Hearing Site: New York, NY
| | $158,000 |
| 13-01652 | 06/24/2014 | Claimant(s): Sergio Zanini
Claimant Lawyers(s): Sherry M. Shore
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Bernard M. Levine, Stephen J. Patti, Michael Jaffe
Hearing Site: New York, NY
| | |
| 12-03730 | 12/27/2013 | Claimant(s): Hana Friedman
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Rocco Papandrea
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Sandra D. Parker, Lynne M. Reid-McQueen, Michael Jaffe
Hearing Site: New York, NY
| | Expungement |
