| 13-03587 | 02/01/2018 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Margaret L. Watson
Respondent(s): James Collins
Respondent Lawyers(s): James Creighton Collins
Arbitrator(s): Mitchell S. Friedman, Nancy Plesser Wendell, Mitchell Regenbogen
Hearing Site: New York, NY
| | |
| 14-00256 | 05/27/2016 | Claimant(s): Petar Arizanov
Claimant Lawyers(s): Sherry M. Shore
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Mitchell S. Friedman, Cynthia A. DiMarco, Patricia A Hussey
Hearing Site: New York, NY
| | |
| 12-02533 | 08/14/2015 | Claimant(s): Estate of Malcolm Schvey
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): Mitchell S. Friedman, Sanford S. Stevens, Sandra Gale Behrle
Hearing Site: New York, NY
|  | $427,060 |
| 13-01411 | 02/04/2015 | Claimant(s): CIFG Assurance North America.
Claimant Lawyers(s): Sean Baldwin
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): William B. Monahan
Arbitrator(s): Mitchell S. Friedman, Fred L. Simon, Renee La Verne Ross CFP
Hearing Site: New York, NY
| | $2,500,000 |
| 10-05736 | 12/02/2014 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Barry S. Gold
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Ilene Barbara Zatkin-Butler, Mitchell S. Friedman, William A. Rome
Hearing Site: New York, NY
| | |
| 13-00486 | 10/21/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Brian Burns, Christopher Kete, Michael Marchiano, William Shinners
Respondent Lawyers(s): Alan S. Brodherson, Michael S. Kasanoff
Arbitrator(s): Mitchell S. Friedman, Bertrand M. Lanchner, Chris P. Drucker
Hearing Site: Newark, NJ
| | |
| 13-00501 | 07/11/2014 | Claimant(s): Elizabeth Krinick
Claimant Lawyers(s): August Iorio
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Mitchell S. Friedman, Laura Carraher, Yvette Strong
Hearing Site: New York, NY
| | Expungement |
| 09-05141 | 06/10/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Verus Investments Holdings., Winton Capital Holding
Respondent Lawyers(s): Charles J. Hecht, H. Peter Haveles
Arbitrator(s): Mitchell S. Friedman, Andrew H. Freund, Howard A. Baker
Hearing Site: New York, NY
| | $886,270 |
| 11-02381 | 04/04/2014 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Todd Rubsamen
Respondent Lawyers(s): Todd Rubsamen
Arbitrator(s): Mitchell S. Friedman, John Nino Brenkovich, Richard Gee
Hearing Site: New York, NY
| | |
| 12-02119 | 08/06/2013 | Claimant(s): Richard Lumelleau
Claimant Lawyers(s): John D. Singer
Respondent(s): Rencap Securities.
Respondent Lawyers(s): Brian L. Friedman
Arbitrator(s): Mitchell S. Friedman, Joseph A. Forgione, W. Alexander Melbardis
Hearing Site: New York, NY
| | |
