| 23-03037 | 04/19/2024 | Claimant(s): Gerard Costello
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Andrew M. Schmertz
Hearing Site: New York, NY
| | |
| 21-01965 | 11/08/2023 | Claimant(s): Julie O'Rourke
Claimant Lawyers(s): Pierre Ciric
Respondent(s): Morgan Stanley, Kathleen Entwistle, UBS Financial Services Inc.
Respondent Lawyers(s): Amanda Parisi, Anastasia B. Wohar, David I. Hantman
Arbitrator(s): Oliver W. Williams, Andrew M. Schmertz, Richard Gary Stelnik
Hearing Site: New York, NY
|  | Expungement |
| 22-01958 | 02/14/2023 | Claimant(s): Daniel Pacella
Claimant Lawyers(s): Eric Bensky
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sarah Zimmer
Arbitrator(s): Andrew M. Schmertz
Hearing Site: New York, NY
| | |
| 22-00013 | 05/18/2022 | Claimant(s): Michael Orr
Claimant Lawyers(s): Michael Orr
Respondent(s): Laurence Allen, Michael Schunk, NYPPEX
Respondent Lawyers(s): Jonathan E. Neuman
Arbitrator(s): Andrew M. Schmertz
Hearing Site: New York, NY
| | |
| 19-00675 | 04/26/2022 | Claimant(s): George Fayezishk
Claimant Lawyers(s): Brian Heller. Esq
Respondent(s): Richard Simonetti, New York Life Insurance Company
Respondent Lawyers(s): Steven D. Hurd
Arbitrator(s): Cheryl H. Agris, Andrew M. Schmertz, Howard Alan Grinsberg
Hearing Site: New York, NY
| | |
| 19-00803 | 11/16/2021 | Claimant(s): Adam Kaplan, Daniel Kaplan
Claimant Lawyers(s): John D. Singer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Andrew M. Schmertz, Ann Judith Gellis, Rick Rutman
Hearing Site: New York, NY
| | |
| 20-02342 | 06/28/2021 | Claimant(s): Harold Elish
Claimant Lawyers(s): Amy Bard
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Andrew M. Schmertz
Hearing Site: New York, NY
| | |
| 18-01916 | 06/21/2019 | Claimant(s): The Elaine Lynn Revocable Trust, The Melvin Lynn Revocable Trust
Claimant Lawyers(s): Eric M. Jaffe
Respondent(s): J.P. Morgan Securities, Jeremy Rayburn, Vincent Sapienza
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Maria C. Hermida, Betty Chen, Andrew M. Schmertz
Hearing Site: New York, NY
| | $0 |
| 16-01647 | 04/27/2018 | Claimant(s): Joseph Reardon
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Sandra D. Parker, Emily M. Altman, Andrew M. Schmertz
Hearing Site: New York, NY
| | |
| 13-01808 | 11/25/2015 | Claimant(s): Jason Goldstein
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Karen M. Steel
Arbitrator(s): Richard D. Gueren, Arthur M. Handler, Andrew M. Schmertz
Hearing Site: New York, NY
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