| 15-02100 | 10/20/2017 | Claimant(s): Folashade Ojediran
Claimant Lawyers(s): Folashade Ojediran
Respondent(s): Edward Rivadeneira, TD Ameritrade.
Respondent Lawyers(s): John Stewart
Arbitrator(s): Elizabeth Gilbert, Howard J. Stiefel, Louis P. Wagman
Hearing Site: New York, NY
| | |
| 16-01469 | 06/15/2017 | Claimant(s): David Allen
Claimant Lawyers(s): David Arthur Allen
Respondent(s): Michael Clements, Avenir Financial Group
Respondent Lawyers(s): Michael Clements
Arbitrator(s): Howard J. Stiefel, Daniel Robbins, Joan Marie Chiusano
Hearing Site: New York, NY
| | |
| 15-03205 | 08/02/2016 | Claimant(s): Todd Kissel
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc., Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed, Kathryn D. Perreault
Arbitrator(s): Howard J. Stiefel, Dolores D. Balsamo, Kenneth Paul Price
Hearing Site: New York, NY
| | |
| 14-03502 | 05/24/2016 | Claimant(s): Laura Bennett
Claimant Lawyers(s): Laura Bennett
Respondent(s): Frederick Kessler, New England Securities, New England Financial
Respondent Lawyers(s): Victoria Woodin Chavey
Arbitrator(s): Raymond Louis George, Howard J. Stiefel, David I. Goldblatt
Hearing Site: New York, NY
| | |
| 14-01957 | 12/31/2015 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): G. Wayne Hillis
Respondent(s): Ramon Hache
Respondent Lawyers(s): David B. Friedrich
Arbitrator(s): Howard J. Stiefel, Linda Ashley, Mary P. Bass
Hearing Site: New York, NY
| | |
| 14-02119 | 09/04/2015 | Claimant(s): Paul Schimmeck
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): John B. Morgan, Howard J. Stiefel, Martin A. Edelstein
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 |
| 14-00767 | 05/19/2015 | Claimant(s): Michael Cioffi
Claimant Lawyers(s): Jonathan Sack
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Roger J. Hawke, Howard J. Stiefel, James M. Rhodes
Hearing Site: New York, NY
| | |
| 13-03537 | 04/10/2015 | Claimant(s): Zachary Bader
Claimant Lawyers(s): Robert M. Bursky
Respondent(s): Brent Porges, Craig Taddonio, Craig Scott Capital
Respondent Lawyers(s): Liam O'Brien
Arbitrator(s): Howard J. Stiefel, C. Kenneth Yoblon, Denise L. Quarles
Hearing Site: New York, NY
| | |
| 11-03855 | 06/27/2013 | Claimant(s): Darius Saib
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): LIoyd B. Chinn
Arbitrator(s): Howard J. Stiefel, Carole L. Green, Bernard J. McGuire
Hearing Site: New York, NY
| | |
