| 18-02179 | 12/11/2019 | Claimant(s): Mark Munizzi
Claimant Lawyers(s): Steven P Gomberg
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Donald M. Thompson, Craig D. Cook, Lisa M. Krimen
Hearing Site: Chicago, IL
| | |
| 18-02012 | 12/05/2019 | Claimant(s): Mark Pent
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): P J Boylan, Stuart S. Mukamal, Bryan K. Nestor
Hearing Site: Milwaukee, WI
| | |
| 16-01877 | 12/29/2017 | Claimant(s): Bright Lake Management LLC, Bright Lake LP
Claimant Lawyers(s): Ilan Preis
Respondent(s): Broadcort Capital Corporation, Jack Seibald, Merrill Lynch Pierce Fenner & Smith Inc., Michael Rosen, Robert Moore, Concept Capital Markets, Cowen Prime Services LLC, Merrill Lynch Professional Clearing Corp
Respondent Lawyers(s): Mark D. Knoll, Mark J. Hyland
Arbitrator(s): Anna M. Fanelli, Lynne M. Reid-McQueen, Richard Gee
Hearing Site: New York, NY
|  | $0 |
| 12-02759 | 07/28/2017 | Claimant(s): Peter Deutsch, William Deutsch
Claimant Lawyers(s): Howard Graff, Rachael Kierych
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Fred Shinagel, Paul S. Biederman, Robert E. Anderson
Hearing Site: New York, NY
| | $0 |
| 16-00898 | 05/18/2017 | Claimant(s): Michael McBee
Claimant Lawyers(s): Matthew C. Heerde
Respondent(s): Evan Schwartzberg, James Viccaro, Mathew Van Alstyne, Odeon Capital Group LLC
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Brooks White
Hearing Site: New York, NY
| | |
| 15-03071 | 04/05/2017 | Claimant(s): Alice Appel
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Indianapolis, IN
| | Expungement |
| 14-02744 | 04/29/2016 | Claimant(s): Linda Shelton
Claimant Lawyers(s): Adam M. Green
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | Expungement |
| 14-03712 | 03/09/2016 | Claimant(s): David Levine
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Patricia A. DeWitt
Hearing Site: New York, NY
| | |
| 15-00934 | 03/08/2016 | Claimant(s): Jay Maltby
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Ray J. Grzebielski, James D. Adducci, Harry Edward Resis
Hearing Site: Chicago, IL
| | |
| 14-02942 | 12/14/2015 | Claimant(s): Caroline Pruett
Claimant Lawyers(s): John J. Miller
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Henry R. Cox, Betty R. Crumpton, John R. Loss
Hearing Site: Kansas City, MO
| | $101,072 |
