| 12-00586 | 03/23/2015 | Claimant(s): Cynba International.
Claimant Lawyers(s): Anthony Paesano
Respondent(s): Harvey Gammage, Morgan Stanley
Respondent Lawyers(s): Todd A. Holleman
Arbitrator(s): Marvin I. Horowitz, Lee Hornberger, Eugene Halsey Bosart
Hearing Site: Detroit, MI
|  | $0 |
| 12-02080 | 10/08/2014 | Claimant(s): The Arthur E. Strunk Revocable Trust, da
Claimant Lawyers(s): John Hubbard
Respondent(s): Morgan Stanley, Shawn Burr
Respondent Lawyers(s): Todd A. Holleman
Arbitrator(s): Marvin I. Horowitz, Robert J. Scafuri, Anthony Allen Mogle
Hearing Site: Detroit, MI
| | $75,000 |
| 11-03174 | 08/02/2013 | Claimant(s): Joseph Polimeni
Claimant Lawyers(s): Franics R. Ortiz
Respondent(s): Philip Sloan, UBS Paine Webber.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Marvin I. Horowitz, Susan L. Currier, Martin I. Reisig
Hearing Site: Detroit, MI
| | Expungement |
| 11-00771 | 06/07/2012 | Claimant(s): Dorothy Wakley, James Wakely
Claimant Lawyers(s): David G. Lutz
Respondent(s): UBS Financial Services Inc., William Avery
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Marvin I. Horowitz, Jennifer Ann Shandler, Seth H. Barsky
Hearing Site: Detroit, MI
| | $0 |
| 09-03574 | 11/15/2010 | Claimant(s): Larry Garon, Lori Garon
Claimant Lawyers(s): Gavin J. Fleming
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Marvin I. Horowitz, Corby A. Kiss, James L. Karpen
Hearing Site: Detroit, MI
| | $0 |
| 08-02227 | 08/14/2009 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Ismail Jamoua
Respondent Lawyers(s): Michael L. Pitt
Arbitrator(s): Marvin I. Horowitz, Nancy R. Papo, Lee Hornberger
Hearing Site: Detroit, MI
| | |
| 07-03256 | 02/12/2009 | Claimant(s): Alan Gildenberg
Claimant Lawyers(s): Jay A. Schwartz
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): Marvin I. Horowitz, Norman A. Samson, Earlene R. Baggett-Hayes
Hearing Site: Detroit, MI
| | |
| 06-01451 | 06/16/2008 | Claimant(s): Joseph Moceri, IRA, Judith Moceri, 401(K) and Profit Sharing Plan, Joseph Moceri Trust
Claimant Lawyers(s): Dean J. Groulx
Respondent(s): Kenneth BrandtL fka Linsco/Private Ledger Corp., Brandt, Kelly & Simmons Securities
Respondent Lawyers(s): Samuel P. Mauch
Arbitrator(s): Marvin I. Horowitz, Barry Goldman, Anthony J. Bove
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
