| 19-02561 | 07/22/2021 | Claimant(s): Morgan Stanley, MSSB Financing LLC
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Neal Rutman
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Edward Turner Borer, Joseph J. Dougherty, Mark H. Stein
Hearing Site: Philadelphia, PA
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| 16-00888 | 03/27/2019 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): James L. Komie
Respondent(s): Howard Walzer
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Marie G. Peterson, Nanci Sondra Landy, Hector Enrique Valdes-Ortiz
Hearing Site: Boca Raton, FL
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| 17-02960 | 02/26/2019 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Fred Knopf
Respondent(s): Steven Bell
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Mark C. Perry, Lawrence C. Levey, Kimberlee Ann Fowler
Hearing Site: Boca Raton, FL
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| 16-01675 | 10/18/2018 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): James L. Komie
Respondent(s): Anthony Mazzo
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Gloria O. North, Steven G. Montesi, Mark Joseph Mugnaini
Hearing Site: Boca Raton, FL
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| 15-03185 | 08/09/2018 | Claimant(s): Sukhminder Pannu and Prabhjot Dillion
Claimant Lawyers(s): Arthur C. Koski
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): David Luger
Arbitrator(s): Keith Roberts, Clive I. Morrick, Michele S. Riley
Hearing Site: New York, NY
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| 15-03204 | 01/22/2018 | Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): David Luger
Respondent(s): Ashok Mittal
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Martin M. Van Luven, Joseph John Mantione, Shannon Nicole Boyd
Hearing Site: Tampa, FL
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| 16-02036 | 11/29/2017 | Claimant(s): Michael Ratner, UBS Credit Corp.
Claimant Lawyers(s): Arthur C. Koski, Michael D. Lee
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael D. Lee
Arbitrator(s): James W. Geiger, Leonard Michael Cusano, Andrew F. Greitz
Hearing Site: Boca Raton, FL
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| 14-00025 | 07/14/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Max S. Emmer
Respondent(s): Gary Shumate
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): David M. Panko, Robin L. Lewis, Peter Edward Sheridan
Hearing Site: Philadelphia, PA
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| 14-03207 | 05/03/2016 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Caryn Diamond Shaw
Respondent(s): Shane Kelly
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Gloria O. North, Richard H. Schneider, Carl Henry Perdue
Hearing Site: Boca Raton, FL
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| 10-00817 | 09/29/2015 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Steven Ipp
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): George G. Kurschner, Donald Theodore Ryce, Robert S. Shuster
Hearing Site: Boca Raton, FL
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