| 10-04946 | 07/19/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): L. Andrew Brehm
Respondent(s): Eugene Flynn
Respondent Lawyers(s): Hyman Silverglad
Arbitrator(s): Charles P. Axelrod, Howard Breindel, Deborah A. Shapiro
Hearing Site: New York, NY
| | |
| 10-05662 | 03/30/2012 | Claimant(s): Linda Stark
Claimant Lawyers(s): Linda A. Stark
Respondent(s): Charles Sleezer, Wachovia Securities Financial Network, Wells Fargo Advisors, Louis Siracusano, Robert Siracusano
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Howard Breindel, Dolores D. Balsamo, Paul Bennett Marrow
Hearing Site: New York, NY
|  | $0 |
| 10-02399 | 12/03/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Julian W. Wells
Respondent(s): Richard Griffler
Respondent Lawyers(s): Richard Elliot Griffler
Arbitrator(s): Howard Breindel
Hearing Site: New York, NY
| | |
| 09-01389 | 10/29/2010 | Claimant(s): Olav Refvik
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Jennifer Barrett
Arbitrator(s): Daniel B. Berkson, Kenneth M. Felder, Howard Breindel
Hearing Site: New York, NY
| | |
| 08-00873 | 06/24/2010 | Claimant(s): Zain Abdullah
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Calyon Securities (USA) Inc
Respondent Lawyers(s): Barbara M. Roth
Arbitrator(s): Howard Breindel, Mark Mendley, Mark J. Happe
Hearing Site: New York, NY
| | |
| 08-01222 | 05/25/2010 | Claimant(s): Gary Mohamed
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Jonathan L. Isreal
Arbitrator(s): Richard W Berenger, Howard Breindel, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | |
| 08-04143 | 02/03/2010 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Mary Gail Gearns
Respondent(s): Vita Health of America
Respondent Lawyers(s): Ronald Feldstein
Arbitrator(s): Howard Breindel, Lynne M. Reid-McQueen, Judith C. Greene
Hearing Site: New York, NY
| | $0 |
| 09-04070 | 12/29/2009 | Claimant(s): Manual Millan
Claimant Lawyers(s): Manual Millan
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): Howard Breindel
Hearing Site: New York, NY
| | $17,451 |
| 09-03337 | 12/08/2009 | Claimant(s): Mary Herzig
Claimant Lawyers(s): Mary Herzig
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Howard Breindel
Hearing Site: New York, NY
| | $690 |
| 08-04959 | 10/30/2009 | Claimant(s): Ellen Oxman
Claimant Lawyers(s): Stanley Alter
Respondent(s): Bert Iannone, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Peter C. Trent, Sanford S. Stevens, Howard Breindel
Hearing Site: New York, NY
| | $0 |
