| 14-01035 | 09/03/2015 | Claimant(s): Esther Rubin
Claimant Lawyers(s): Esther Rubin
Respondent(s): Debra Bushman, UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Bernard A. Friedman
Hearing Site: New York, NY
|  | Expungement |
| 13-02001 | 04/25/2014 | Claimant(s): Renata Colon
Claimant Lawyers(s): Renata Colon
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Bernard A. Friedman
Hearing Site: New York, NY
| | $0 |
| 12-01077 | 12/06/2012 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Stanley Wong
Respondent Lawyers(s): Stanley Wong
Arbitrator(s): Bernard A. Friedman
Hearing Site: New York, NY
| | |
| 11-01473 | 05/25/2012 | Claimant(s): Manfred Wetzel
Claimant Lawyers(s): Manfred Wetzel
Respondent(s): Paul Levi
Respondent Lawyers(s): Paul Levi
Arbitrator(s): Bernard A. Friedman
Hearing Site: New York, NY
| | $183,155 |
| 09-06762 | 06/23/2011 | Claimant(s): Harriet Baker, John Baker, Natalie Baker
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nathan T. Alexander
Arbitrator(s): Bernard A. Friedman, Bernard Korman, James Sloan Altschul
Hearing Site: New York, NY
| | $880,000 |
| 09-07153 | 11/10/2010 | Claimant(s): Peter Skouras
Claimant Lawyers(s): George W. Klein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn L. Dietrich
Arbitrator(s): Bernard A. Friedman
Hearing Site: New York, NY
| | $25,425 |
| 09-02274 | 06/10/2010 | Claimant(s): Giorgio Castro
Claimant Lawyers(s): Jeremy Panzella
Respondent(s): Chicago Investment Group
Respondent Lawyers(s): Howard Rosenburg
Arbitrator(s): John S. McNulty, Bernard A. Friedman, Marianne C. Hussey
Hearing Site: New York, NY
| | $0 |
| 09-01321 | 11/13/2009 | Claimant(s): Robert Benward, Robert S. Benward Roth/IRA
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Rebecca L. Burnaugh
Arbitrator(s): Bernard A. Friedman
Hearing Site: New York, NY
| | $10,114 |
| 08-02809 | 10/20/2009 | Claimant(s): Isidore Mayrock, General Partner of REI
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Citigroup Global Markets., Citicorp Investment Services
Respondent Lawyers(s): David J. Butler
Arbitrator(s): J. Martin McDonough, Frank Irizarry, Bernard A. Friedman
Hearing Site: New York, NY
| | $754,000 |
| 07-03185 | 07/08/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): David Feldman
Respondent Lawyers(s): David Feldman
Arbitrator(s): Bernard A. Friedman
Hearing Site: New York, NY
| | $0 |
