| 15-02530 | 05/23/2018 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): James L. Komie
Respondent(s): Benjamin Marcano
Respondent Lawyers(s): Jarrod J. Malone
Arbitrator(s): Susan C. Lushing, George Sommerfeld, Gayle S. Sanders
Hearing Site: New York, NY
| | |
| 16-01005 | 12/12/2017 | Claimant(s): Jollene Austin
Claimant Lawyers(s): Christina Giorgio
Respondent(s): John Tarpinian
Respondent Lawyers(s): Gregory S. Sparer
Arbitrator(s): Susan C. Lushing, David S. Billet, Kevin B. Naughten
Hearing Site: New York, NY
| | |
| 13-02213 | 07/25/2017 | Claimant(s): Ervin Pilku
Claimant Lawyers(s): James P. Gianakis
Respondent(s): Eric Salzman, Advisors Asset Management.
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Susan C. Lushing, Joel C. Keilson, Mark Jeffrey Snyder
Hearing Site: New York, NY
| | |
| 15-02356 | 09/27/2016 | Claimant(s): Lance Lipkus
Claimant Lawyers(s): Joshua Kons
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Susan C. Lushing, Mary P. Bass, Mitchell Regenbogen
Hearing Site: New York, NY
|  | $0 |
| 14-00462 | 12/11/2015 | Claimant(s): Estate of Stanley Stein, Tracy Stein IRA, Laura Weiss Trust, Tracy Stein, PACE, Trust u/w Bonnie R. Stein
Claimant Lawyers(s): Gary Menzer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Susan C. Lushing, Linda J. Baer, Lawrence H. Teich
Hearing Site: New York, NY
| | $0 |
| 14-01705 | 07/08/2015 | Claimant(s): Estate of John Lidell
Claimant Lawyers(s): Lloyd S. Clareman
Respondent(s): Jason Klabal, Michael Mariani, Legend Securities.
Respondent Lawyers(s): David A. Gehn, Lawrence R. Gelber, Michael A. Mariani
Arbitrator(s): Susan C. Lushing, Richard Lee Mansdoerfer, Michele S. Riley
Hearing Site: New York, NY
| | $61,867 |
| 12-04099 | 05/07/2015 | Claimant(s): National Australia Bank Limited, TSL (USA)Inc.
Claimant Lawyers(s): Jonathan E. Pickhardt
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Philip M. Bowman
Arbitrator(s): Susan C. Lushing, Alfred John Del Rey, Amy Banet
Hearing Site: New York, NY
| | $80,000,000 |
| 14-03211 | 05/07/2015 | Claimant(s): Ronnie Revel
Claimant Lawyers(s): Ronnie Revel
Respondent(s): Mikhail Cherny, Osher Douek
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): Susan C. Lushing
Hearing Site: New York, NY
| | $0 |
| 14-01498 | 04/15/2015 | Claimant(s): E.J. Sterling
Claimant Lawyers(s): Timothy Feil
Respondent(s): Brian Miller
Respondent Lawyers(s): Brian Lee Miller
Arbitrator(s): Susan C. Lushing
Hearing Site: New York, NY
| | |
| 12-03020 | 04/13/2015 | Claimant(s): Mark Ginsberg
Claimant Lawyers(s): Loretta M. Gastwirth
Respondent(s): Maziar Shams, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John P. Bevilacqua
Arbitrator(s): Susan C. Lushing, Nancy Kramer, Harrison Johnson
Hearing Site: New York, NY
| | $0 |
