| 15-00286 | 04/12/2016 | Claimant(s): Alan Silverstein, Karen Silverstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Cutler, James S. Hazard, Ronald F. Rosner
Hearing Site: New York, NY
|  | $0 |
| 12-02925 | 11/13/2015 | Claimant(s): Lettita Bollon, Richard Bollon, NFS/FMTC Rollover IRA-FBO Richard J. Bol, Richard J. Bollon DDS PC, Richard J. Bollon TTEE, Richard J. Bollon PSP
Claimant Lawyers(s): James G. Marsh
Respondent(s): Stanley Brooks, Brookstreet Securities Corporation, Troy Gagliardi
Respondent Lawyers(s): Sam Silverstein, Troy L. Gagliardi
Arbitrator(s): Richard W. Cutler, Anita Sippy, Gladys Mond
Hearing Site: New York, NY
| | $0 |
| 14-01312 | 08/11/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s): Nick Hsieh
Respondent Lawyers(s): Thomas J. McCabe
Arbitrator(s): Richard W. Cutler, Michele S. Riley, Mark J. Happe
Hearing Site: New York, NY
| | |
| 13-02811 | 06/19/2015 | Claimant(s): Richard Colley
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Richard W. Cutler, Howard J. Stiefel, Linda G. March
Hearing Site: New York, NY
| | Expungement |
| 13-01806 | 05/11/2015 | Claimant(s): J. Kenneth Harbour, Nancy Harbour, J.K. Harbour TTE of the Reduction Family
Claimant Lawyers(s): D. Daxton White
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Richard W. Cutler, William J. Greene, Ira M. Ross
Hearing Site: New York, NY
| | Expungement |
| 13-03688 | 05/01/2015 | Claimant(s): Kuku Walia
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Richard W. Cutler, Frances Gottfried, Sonja Tennille Orgias
Hearing Site: New York, NY
| | Expungement |
| 13-00609 | 02/03/2015 | Claimant(s): Rafael Diamond
Claimant Lawyers(s): Brian Kennedy
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Margaret L. Watson
Arbitrator(s): Richard W. Cutler, Lisa Lograno, Sandra Holtzman
Hearing Site: New York, NY
| | |
| 12-03312 | 11/22/2013 | Claimant(s): Cynthia Shaw
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Polina M. Dostalik
Arbitrator(s): Richard W. Cutler, Sandra J. Mullings, David Serko
Hearing Site: New York, NY
| | $600 |
| 12-03469 | 11/07/2013 | Claimant(s): Leslie Stein
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | $600 |
| 12-00720 | 06/19/2013 | Claimant(s): Bernadette Kelleher
Claimant Lawyers(s): Brian Kennedy
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Paul K. Stecker
Arbitrator(s): Richard W. Cutler, John B. Myers, Ronald Harris Kisner
Hearing Site: New York, NY
| | $11,000 |
