| 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 |
| 11-03327 | 03/21/2013 | Claimant(s): Peter Hasho
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas P. Briody
Arbitrator(s): Kip C. Lubcke, Mitchell S. Friedman, Robert G. O'Brien
Hearing Site: New York, NY
| | Expungement |
| 11-00196 | 11/13/2012 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Jay Shapiro
Respondent(s): Steven Kolinsky
Respondent Lawyers(s): Chad N. Cagan
Arbitrator(s): Mitchell S. Friedman, John P. Scordo, Jonathan Christian Byron
Hearing Site: Newark, NJ
| | |
| 10-01101 | 03/15/2012 | Claimant(s): Darin Ackerman
Claimant Lawyers(s): Charlotte W. Houghteling
Respondent(s): CRT Capital Group LLC
Respondent Lawyers(s): Nancy E. Delaney
Arbitrator(s): Mitchell S. Friedman, Howard A. Baker, John Murray Carroll
Hearing Site: New York, NY
| | |
| 10-00220 | 02/08/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Beth Delaney
Respondent(s): Robert Chester
Respondent Lawyers(s): W. Hubert Plummer
Arbitrator(s): Daniel B. Berkson, Mitchell S. Friedman, Judith Fields Jurney
Hearing Site: New York, NY
| | |
| 10-02664 | 06/24/2011 | Claimant(s): Susan Ginsburg, David M. Ginsburg Test. Trust by S. Gins
Claimant Lawyers(s): R. Diego Velazquez
Respondent(s): Sanford C. Bernstein & Co., Laurence Bertan, Paul Cobuzzi, Alliancebernstein Investments.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Mitchell S. Friedman, Michael S. Perinelli, Edwin H. Bennett
Hearing Site: New York, NY
| | $0 |
| 09-06628 | 02/23/2011 | Claimant(s): Bernard Ochs
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Alex Shtaynberger, Jason Russo, Ronald Furst, Todd Cirella, Laidlaw & Company (UK) Ltd.
Respondent Lawyers(s): Ira Scot Meyerowitz
Arbitrator(s): Mitchell S. Friedman, Denise L. Quarles, Arthur M. Schoenberger
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 09-03613 | 11/22/2010 | Claimant(s): Waterlight International S.A.
Claimant Lawyers(s): Timothy P. Kebbe
Respondent(s): Edward Marx, UBS Financial Services Inc.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Mitchell S. Friedman, Linda S. Cole, Jonathan Honig
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 09-02400 | 06/24/2010 | Claimant(s): Michael Jacobs, Michael Jacobs Custod. for Julie Jacobs, Michael Jacobs Custodian Jeffery Jacobs, Diane Jacobs Disclaimer Trust
Claimant Lawyers(s): Alan L Frank
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy Bard
Arbitrator(s): Mitchell S. Friedman, Richard Gee, Andrew Shearman Benjamin
Hearing Site: New York, NY
| | $0 |
| 07-02017 | 02/05/2009 | Claimant(s): William Heffernan
Claimant Lawyers(s): John M. Lundin
Respondent(s): Peter Miluk
Respondent Lawyers(s): Peter Miluk
Arbitrator(s): William J. Crowe, Mitchell S. Friedman, Howard D. Jacob
Hearing Site: New York, NY
| | $7,970,620 |
