17-02291 | 08/06/2019 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Ryan S. Nichols Respondent(s): Jeffrey Silverman Respondent Lawyers(s): Stephany McLaughlin Arbitrator(s): Mitchell Jay Bayer, James Alexander Brown, Steven C. Kasarda Hearing Site: New York, NY
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15-01963 | 01/20/2017 | Claimant(s): Hirak Biswas Claimant Lawyers(s): Jeffrey L. Liddle Respondent(s): RBS Securities Inc. Respondent Lawyers(s): Patrick J. Lamparello Arbitrator(s): Anna M. Fanelli, Mitchell Jay Bayer, Richard Gee Hearing Site: New York, NY
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12-02491 | 05/08/2015 | Claimant(s): George Carlo, Luis Sepulveda Claimant Lawyers(s): Charles M. O'Rourke Respondent(s): Barry Cassese, Charles Carrillo, Louis Ward, Michael Finnan, Paul Metz, K.C. Ward Financial, Morgan Wilshire Securities. Respondent Lawyers(s): Charles M. O'Rourke, Robert I. Rabinowitz Arbitrator(s): Mitchell Jay Bayer, John J. Vesey, Howard A. Baker Hearing Site: New York, NY
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14-00881 | 11/05/2014 | Claimant(s): Thomas Ferrara Claimant Lawyers(s): Kathy M. Klock Respondent(s): Park Avenue Securities LLC Respondent Lawyers(s): Gordon F. Wylie Arbitrator(s): Madelon M. Rosenfeld, Mitchell Jay Bayer, Michele S. Riley Hearing Site: New York, NY
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11-02754 | 09/04/2013 | Claimant(s): Edward Horvath, Pamela Horvath Claimant Lawyers(s): Adam J. Gana Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David G. Smitham Arbitrator(s): Irwin Kahn, Elizabeth Gilbert, Mitchell Jay Bayer Hearing Site: New York, NY
| | Expungement |
10-05600 | 12/21/2011 | Claimant(s): Peter Goldman Claimant Lawyers(s): Daniel Felber Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Margaret L. Watson Arbitrator(s): William E. Nuckel, Mitchell Jay Bayer, Herbert Sue Hearing Site: New York, NY
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08-03293 | 10/30/2009 | Claimant(s): Gail Pasternack Claimant Lawyers(s): Adam J. Gana Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Dan A. Rosenbaum Arbitrator(s): Joseph F. Kelley, Mitchell Jay Bayer, Sam Antar Hearing Site: New York, NY
| | $67,000 |
05-05320 | 07/25/2008 | Claimant(s): David Levy Claimant Lawyers(s): David B. Bernfeld Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Alfred P. Reeves, Larry W. Befeler, Mitchell Jay Bayer Hearing Site: New York, NY
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