| 14-01628 | 04/15/2015 | Claimant(s): Adam Steinberg, Jeffrey Steinberg, Adam Steinberg SEP IRA
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
|  | $15,300 |
| 13-03137 | 07/02/2014 | Claimant(s): Ralph Autuore
Claimant Lawyers(s): William H. Connolly
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Jeffrey Steinberg
Hearing Site: Philadelphia, PA
| | |
| 13-01283 | 11/05/2013 | Claimant(s): Rosalyn Wenzel
Claimant Lawyers(s): Rosalyn S. Wenzel
Respondent(s): Glenn King, Royal Alliance Associates., Louis Sorrentino
Respondent Lawyers(s): Glenn R. King, Lauren H. Lezak, Louis R. Sorrentino
Arbitrator(s): Jeffrey Steinberg
Hearing Site: Newark, NJ
| | $0 |
| 09-07084 | 04/09/2013 | Claimant(s): Carol Cohen, Ronald Cohen
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Jeffrey Rachlin, Alternative Wealth Strategies.
Respondent Lawyers(s): James C. Gaul, Jeffrey Rachlin
Arbitrator(s): Jeffrey Steinberg, Abraham Harry Bunis, Linda J. Baer
Hearing Site: Newark, NJ
| | Stipulated Award |
| 08-04546 | 10/05/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Eric Werner
Respondent Lawyers(s): Christopher R. Travis
Arbitrator(s): Jeffrey Steinberg, Felix A. Meschini, Robert W. Ratti
Hearing Site: Philadelphia, PA
| | |
| 08-01708 | 05/24/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): Mark Pollack
Respondent Lawyers(s): Mark Pollack
Arbitrator(s): Jeffrey Steinberg, Nathan J. Minucci, Ernest Edward Badway
Hearing Site: Newark, NJ
| | |
| 09-02313 | 10/15/2009 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): John Baker
Respondent Lawyers(s): John Robert Baker
Arbitrator(s): Jeffrey Steinberg
Hearing Site: Philadelphia, PA
| | |
| 08-00523 | 08/13/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Robert Martin
Respondent Lawyers(s): Robert Martin
Arbitrator(s): Thomas Caiaffa, Jeffrey Steinberg, John W. Thomas
Hearing Site: Newark, NJ
| | |
| 08-01224 | 07/29/2009 | Claimant(s): Victoria Kaufman
Claimant Lawyers(s): Stanislaus S. Mroczkowski
Respondent(s): UBS Financial Services Inc., Scott Rose
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jeffrey Steinberg, Abraham Harry Bunis, Stephen L. Lister
Hearing Site: New York, NY
| | $0 |
| 08-01406 | 12/30/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): Steven Martini
Respondent Lawyers(s): Steven Martini
Arbitrator(s): Jeffrey Steinberg
Hearing Site: Newark, NJ
| | |
