| 10-04768 | 05/05/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Robert Tolstoi
Respondent Lawyers(s): Brian Reis
Arbitrator(s): Stephen L. Lister
Hearing Site: Newark, NJ
| | |
| 09-03079 | 07/29/2010 | Claimant(s): Joseph Patane
Claimant Lawyers(s): Thomas A. Gentile
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mauricio S. Beugelmans
Arbitrator(s): C. Anthony Bell, Louis H. Miron, Stephen L. Lister
Hearing Site: Newark, NJ
|  | $0 |
| 08-01224 | 07/29/2009 | Claimant(s): Victoria Kaufman
Claimant Lawyers(s): Stanislaus S. Mroczkowski
Respondent(s): UBS Financial Services Inc., Scott Rose
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jeffrey Steinberg, Abraham Harry Bunis, Stephen L. Lister
Hearing Site: New York, NY
| | $0 |
| 08-00086 | 06/30/2009 | Claimant(s): Peter Ramos and Karen Ramos
Claimant Lawyers(s): Peter S. Pearlman
Respondent(s): Genworth Financial Securities Corporatio
Respondent Lawyers(s): Richard D. De Vita
Arbitrator(s): Alan Shaw, Philip Rachmelowitz, Stephen L. Lister
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
