| 14-00401 | 05/07/2015 | Claimant(s): Nicholas Barnes
Claimant Lawyers(s): Adam Weinstein
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Margaret Leggett Tarver, Robert E. Anderson, Richard V. Adams
Hearing Site: Newark, NJ
| | |
| 14-02357 | 04/21/2015 | Claimant(s): Benjamin Sax, Eric Bodner
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): Deborah Friedman
Respondent Lawyers(s): John Ellis
Arbitrator(s): James D. Adducci
Hearing Site: Chicago, IL
| | Expungement |
| 14-00921 | 12/01/2014 | Claimant(s): Thomas Wheeler
Claimant Lawyers(s): Jeff Kern
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
| | |
| 14-00144 | 10/14/2014 | Claimant(s): Benjamin Sax
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): Adam Harris, Susan Harris
Respondent Lawyers(s): Herbert M. Deutsch
Arbitrator(s): Robert Pincus, John B. Myers, Alida D. Camp
Hearing Site: New York, NY
| | Expungement |
| 13-00145 | 08/22/2013 | Claimant(s): David Prockter
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Mark J. Happe
Hearing Site: New York, NY
| | |
| 12-01965 | 08/14/2013 | Claimant(s): The Estate of James W. Hassman, Deceased
Claimant Lawyers(s): Robert A. Klingler
Respondent(s): Daryl Demo, UBS Financial Services Inc.
Respondent Lawyers(s): Aaron A. VanderLaan, Mark D. Knoll
Arbitrator(s): Carol M. Stoner, Stephen P. Calardo, Daniel G. Zeiser
Hearing Site: Cincinnati, OH
|  | $0 |
| 09-03454 | 03/30/2012 | Claimant(s): Irene Kaufman Trust by Irene & Bernice K
Claimant Lawyers(s): Lloyd De Vos
Respondent(s): Diane Frimmel, John Hannasch, UBS Financial Services Inc., Marten Hoekstra, Michael Weisberg
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Ilene Barbara Zatkin-Butler, Milton M. Stein, David J. Weisenfeld
Hearing Site: New York, NY
| | $0 |
| 10-02646 | 11/17/2011 | Claimant(s): Robert West
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Dwight Wassong
Hearing Site: New York, NY
| | $0 |
| 08-04357 | 11/03/2010 | Claimant(s): Steven Edelson and Ellen Edelson
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Kenneth Diamond, Cecilia B. Loving, Thomas D. Giordano
Hearing Site: New York, NY
| | $529,688 |
