| 10-02937 | 11/26/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Deborah G. Evans
Respondent(s): David Honigstock
Respondent Lawyers(s): Paul A. Lieberman
Arbitrator(s): Charles L. Henderson, Elizabeth Elster Granville, Walter M. Schackman
Hearing Site: New York, NY
| | |
| 11-02418 | 04/16/2013 | Claimant(s): Alain Coello, Frank Braun, Leheng Lee, Yvonne Braun
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Anthony Giuliano III, John Thomas Financial
Respondent Lawyers(s): Anthony Frank Giuliano III, Robert M. Bursky
Arbitrator(s): Mitchell S. Friedman, Walter M. Schackman, Edwin H. Bennett
Hearing Site: New York, NY
|  | Expungement |
| 09-06242 | 02/24/2012 | Claimant(s): Susan O'Rourke
Claimant Lawyers(s): Andrea M. Paparella
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Paul S. Biederman, Walter M. Schackman, Joshua Mark Zucker
Hearing Site: New York, NY
| | |
| 10-02848 | 11/23/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): H. Huss
Respondent Lawyers(s): Lawrence C. Glynn
Arbitrator(s): Walter M. Schackman, Walter W. Jensen, Margaret Leggett Tarver
Hearing Site: Newark, NJ
| | |
| 09-06530 | 11/07/2011 | Claimant(s): Kenji Higuchi
Claimant Lawyers(s): Madelyn R. Shulman
Respondent(s): William Heiden
Respondent Lawyers(s): William David Heiden
Arbitrator(s): Jeffrey P. Bachmann, Walter M. Schackman, Andrew J. Gerber
Hearing Site: New York, NY
| | $400,000 |
| 08-03790 | 05/10/2011 | Claimant(s): Charles Churchill
Claimant Lawyers(s): Richard J. Braun
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth W. DiGia
Arbitrator(s): Walter M. Schackman, Francis Carling, David R. Foley
Hearing Site: New York, NY
| | |
| 06-00972 | 10/15/2007 | Claimant(s): The Gorak Foundation Trust
Claimant Lawyers(s): Daniel L. Carroll
Respondent(s): Dean Friedman
Respondent Lawyers(s): Brett Sherman
Arbitrator(s): Diane Ciccone, Linda S. Cole, Walter M. Schackman
Hearing Site: New York, NY
| | $22,342 |
