| 09-03980 | 07/12/2011 | Claimant(s): Alan Kovner, Alan Kovner Scholars Choice FBO J Kovner, Alan M. Kovner ACF Joshua A. Kovner U/NY, Alan Kover CGM IRA Custodian, Joshua A. Kovner TTEE FBO Alan Kovner
Claimant Lawyers(s): Vincent W. Ansanelli
Respondent(s): Citigroup Global Markets., Smith Barney.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Barry Feiden, Jerome H. Levy, Keely D. Parr
Hearing Site: New York, NY
|  | Expungement |
| 09-04396 | 10/25/2010 | Claimant(s): David Steiner
Claimant Lawyers(s): Matthew W. Woodruff
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew F. Dexter
Arbitrator(s): Barry Feiden, Mindi R. Parrott, James Anthony Maccaro
Hearing Site: New York, NY
| | $300 |
| 08-04392 | 12/29/2009 | Claimant(s): Peter J. DaPuzzo and Jane DaPuzzo
Claimant Lawyers(s): Steven B. Feigenbaum
Respondent(s): Robert Myers
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Donald J. Rasweiler, Barry Feiden, George W. Fehling
Hearing Site: New York, NY
| | $0 |
| 07-00447 | 02/13/2009 | Claimant(s): Martin Murphy
Claimant Lawyers(s): George W. Klein
Respondent(s): Bishop, Rosen & Co..
Respondent Lawyers(s): Martin Siegel
Arbitrator(s): Barry Feiden, Arthur D. Sporn, Philip Florio
Hearing Site: New York, NY
| | $8,000 |
| 07-02910 | 06/06/2008 | Claimant(s): Howard Yee
Claimant Lawyers(s): Alan E. Wolin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Marcie Mintz
Arbitrator(s): Barry Feiden, Camille S. Cooper, Randolph Guggenheimer
Hearing Site: New York, NY
| | |
| 06-00371 | 02/06/2008 | Claimant(s): Rose Portolano
Claimant Lawyers(s): James A. Prestiano
Respondent(s): Anton Gerdes, Carl De Lucia, Harold Garrecht, Steven Gatto, East Shore Partners.
Respondent Lawyers(s): Michael P. Gilmore, Steven S. Gatto
Arbitrator(s): Larry A. Kimmel, Barry Feiden, Ronald J Betso
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
