| 12-01161 | 11/06/2014 | Claimant(s): Adam Behlman
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Kevin LeBlang
Arbitrator(s): Charles P. Axelrod, Joseph W. Lodato, Linda J. Baer
Hearing Site: New York, NY
| | |
| 12-02291 | 06/05/2013 | Claimant(s): Caroline Kulik
Claimant Lawyers(s): Vlad G. Spitzer
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Allan S. Bloom
Arbitrator(s): Joseph W. Lodato, Linda J. Baer, John Michael Richardson
Hearing Site: New York, NY
| | |
| 08-04310 | 10/26/2010 | Claimant(s): Alexis Miron
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): CIBC World Markets Corp., Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan-Cona, Lloyd C. Clareman
Arbitrator(s): Howard J. Stiefel, Joseph W. Lodato, Elizabeth Elster Granville
Hearing Site: New York, NY
| | |
| 08-01045 | 07/29/2009 | Claimant(s): James Ritter, Maxim Growth Fund LP
Claimant Lawyers(s): James D. Ritter
Respondent(s): Wachovia Securities Financial Network, Eric Lyon, John Black
Respondent Lawyers(s): Marc J. Ross
Arbitrator(s): Arnold Wagner, Joseph W. Lodato, Anthony Michael Sabino
Hearing Site: New York, NY
|  | $0 |
