20-00510 | 03/08/2021 | Claimant(s): Jorge Silva Claimant Lawyers(s): Brad S. Maistrow Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Thomas J. Cahill Arbitrator(s): Patricia Kathleen Costello Hearing Site: New York, NY
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20-01970 | 02/04/2021 | Claimant(s): Barbara Minkowitz Claimant Lawyers(s): Barbara Minkowitz Respondent(s): Pershing Advisor Solutions LLC Respondent Lawyers(s): James H. Forte Arbitrator(s): Patricia Kathleen Costello Hearing Site: Jersey City, NJ
| | $0 |
19-03441 | 12/18/2020 | Claimant(s): John Miller Claimant Lawyers(s): Andrew J. Rodgers Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David L. Goldberg Arbitrator(s): Leona Beane, Amy Jill Baranoff, Patricia Kathleen Costello Hearing Site: New York, NY
| | $0 |
19-02180 | 10/19/2020 | Claimant(s): Amanda B. Straight Revocable Trust Claimant Lawyers(s): Seth E. Lipner Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Joseph Serino Arbitrator(s): John F. Duane, Gerald H. Grayson, Patricia Kathleen Costello Hearing Site: New York, NY
| | $0 |
19-02672 | 08/28/2020 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Michael R. Greco Respondent(s): Peter Pavlakis Respondent Lawyers(s): Clinton W. Marrs Arbitrator(s): Richard W. Cutler, Patricia Kathleen Costello, Leland Harris Hearing Site: New York, NY
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19-00465 | 04/06/2020 | Claimant(s): TIAA, TIAA-Cref Individual & Institutional Claimant Lawyers(s): Steven Link Respondent(s): Tara Stewart Respondent Lawyers(s): Jonathan C. Thau Arbitrator(s): Dean Burrell, Patricia Kathleen Costello, Michael W. Starr Hearing Site: Newark, NJ
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19-02157 | 01/03/2020 | Claimant(s): Charles Chan Claimant Lawyers(s): Joel M. Everest Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): Patricia Kathleen Costello Hearing Site: New York, NY
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18-01899 | 08/28/2019 | Claimant(s): James Porz Claimant Lawyers(s): Paul W. Thomas Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jacqueline R. Meyers Arbitrator(s): Harvey Barrison, Philip J De Bellis, Patricia Kathleen Costello Hearing Site: New York, NY
| | Dismissed by Rule 12206/12504 |
17-02901 | 02/07/2019 | Claimant(s): Mark Rubin Claimant Lawyers(s): Pamela A. Hulnick Respondent(s): Jason Diamond, Drexel Hamilton Respondent Lawyers(s): William A. Rome Arbitrator(s): Linda Ashley, Rebecca Ann Berlow, Patricia Kathleen Costello Hearing Site: New York, NY
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16-02160 | 09/26/2017 | Claimant(s): Linda Kaplan Claimant Lawyers(s): Kevin T. Hoffman Respondent(s): Oppenheimer & Co.., Raymond, James & Associates., Peter Marketos Respondent Lawyers(s): Ralph T. Izzo, Robert L. Herskovits, Robert M. Rudnicki Arbitrator(s): Brooks White, Patricia Kathleen Costello, Elliot Schnapp Hearing Site: New York, NY
| | Expungement |