| 19-01431 | 06/14/2023 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): James L. Komie
Respondent(s): Robert Cohen
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Mark Hammaren, Thomas M. Madden, Melinda George-Bristol
Hearing Site: New York, NY
| | |
| 22-00220 | 06/13/2023 | Claimant(s): Dena Tucker, Estate of Robert P. Tucker
Claimant Lawyers(s): Joseph A. Hourihan
Respondent(s): Jesse Fable, UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Thomas M. Madden
Hearing Site: Hartford, CT
|  | $0 |
| 21-01534 | 05/18/2023 | Claimant(s): Raymond Potter
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Leslie Ruth Nydick, Thomas M. Madden, Rick Rutman
Hearing Site: New York, NY
| | |
| 22-01073 | 12/20/2022 | Claimant(s): Kunal Arora
Claimant Lawyers(s): Seth N. Bursky
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Eva H. Posman, Herbert N. Fishman, Thomas M. Madden
Hearing Site: New York, NY
| | |
| 21-00934 | 07/15/2022 | Claimant(s): Silvana Puglia-Elmo
Claimant Lawyers(s): David Vermont
Respondent(s): Daniel Sherman, Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Thomas M. Madden, Eric Zaidins, Gary Ford Munowitz
Hearing Site: New York, NY
| | Expungement |
| 21-02774 | 05/03/2022 | Claimant(s): Heath Grossman
Claimant Lawyers(s): Steven D. Feldman
Respondent(s): Silver Oak Securitiesorporated
Respondent Lawyers(s): Doug Baxley
Arbitrator(s): Thomas M. Madden
Hearing Site: Hartford, CT
| | |
| 21-00550 | 01/25/2022 | Claimant(s): Betsy Sachs
Claimant Lawyers(s): Betsy Sachs
Respondent(s): James Mckenna, Whitney Boucher
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Paul A. Auerbach, Thomas M. Madden, Mark Andrew Helman
Hearing Site: Providence, RI
| | Dismissed by Rule 12504 |
| 17-02587 | 09/02/2021 | Claimant(s): Richard Roe
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Joanne M.F. Wilcomes
Arbitrator(s): Thomas M. Madden, Lorrie E Whitfield, Louis Arnold Russo
Hearing Site: New York, NY
| | |
| 20-01701 | 07/27/2021 | Claimant(s): Joon Rhee
Claimant Lawyers(s): Craig Riha
Respondent(s): Continental Broker-Dealer Corp.
Respondent Lawyers(s): Michael Clements
Arbitrator(s): Thomas M. Madden
Hearing Site: New York, NY
| | |
| 19-03744 | 05/27/2020 | Claimant(s): Robert Lucarelli
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Thomas M. Madden
Hearing Site: Hartford, CT
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