| 11-01556 | 12/12/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John D. Miller
Respondent(s): Gia Atlas
Respondent Lawyers(s): Mitchell Schley
Arbitrator(s): Mitchell S. Friedman, Michael P. Marryshow, Nicholas James Johnson
Hearing Site: Philadelphia, PA
| | |
| 12-02193 | 11/04/2013 | Claimant(s): Gerard Sagliocca
Claimant Lawyers(s): Gerard J. Sagliocca
Respondent(s): Michael Kaplan, Joseph Gunnar & Co.
Respondent Lawyers(s): John E. Lawlor, Michael Kaplan
Arbitrator(s): Mitchell S. Friedman
Hearing Site: Albany, NY
|  | $0 |
| 12-02214 | 05/31/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael J. Faley
Respondent(s): Francis Rizzo
Respondent Lawyers(s): Francis V. Rizzo
Arbitrator(s): Mitchell S. Friedman
Hearing Site: New York, NY
| | |
| 11-04199 | 04/25/2013 | Claimant(s): Philip Gold
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Mitchell S. Friedman
Hearing Site: New York, NY
| | Expungement |
| 10-03332 | 06/14/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael W. Starr
Respondent(s): Milton Harkrader
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Mitchell S. Friedman
Hearing Site: New York, NY
| | |
| 04-06761 | 02/03/2009 | Claimant(s): Garrett Going
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Brian King, Faith Lee, Joseph McAdams, Robert Gillin, Syndicated Capital.
Respondent Lawyers(s): Brian P King, Liam O'Brien, Marc A. Susswein
Arbitrator(s): Dennis C. Meyerson, Mitchell S. Friedman, Judith C. Greene
Hearing Site: New York, NY
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