| 15-02530 | 05/23/2018 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): James L. Komie
Respondent(s): Benjamin Marcano
Respondent Lawyers(s): Jarrod J. Malone
Arbitrator(s): Susan C. Lushing, George Sommerfeld, Gayle S. Sanders
Hearing Site: New York, NY
| | |
| 17-01535 | 05/23/2018 | Claimant(s): Carole Kitrosser
Claimant Lawyers(s): David E. Robbins
Respondent(s): Richard Minichino
Respondent Lawyers(s): Matthew D. Wagoner
Arbitrator(s): Francis Carling
Hearing Site: New York, NY
| | |
| 15-00030 | 05/18/2018 | Claimant(s): Francis Mitchell
Claimant Lawyers(s): Gerald S. Berkowitz
Respondent(s): Charles Reiling, Matthew Rakerd, Coastal Equities.
Respondent Lawyers(s): Charles S. Fax
Arbitrator(s): Joseph J. Arata, Thomas Michael Gandolfo, Jason Scott Eveleth
Hearing Site: New York, NY
| | |
| 16-03350 | 05/18/2018 | Claimant(s): Thomas Lee
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Patrick W. Shea
Arbitrator(s): John J. Vesey, Kenneth F. Leder, John Michael Richardson
Hearing Site: New York, NY
| | |
| 17-02105 | 05/18/2018 | Claimant(s): Aegis Capital Corp.
Claimant Lawyers(s): Jonathan P. Fielding
Respondent(s): Michael Venturino
Respondent Lawyers(s): Eric J. Sussman
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | |
| 18-00586 | 05/18/2018 | Claimant(s): AXA Advisors, AXA Network LLC
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Abdul Chowdhury
Respondent Lawyers(s): Abdul H. Chowdhury
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
| 17-02224 | 05/17/2018 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Mark Schrader
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
| | |
| 15-00953 | 05/16/2018 | Claimant(s): Alexander Beigelman
Claimant Lawyers(s): Linda D. Friedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Kenneth L. Stewart, Karen Isabel Bedrosian - Richardson, Martin Deignan Dehler
Hearing Site: New York, NY
| | |
| 16-03026 | 05/15/2018 | Claimant(s): Dana Korr, David Korr, Jill Korr, Jonathan Korr
Claimant Lawyers(s): Marc S Gottlieb
Respondent(s): Wells Fargo Advisors, Peter Stabell
Respondent Lawyers(s): Jennifer G. Chawla
Arbitrator(s): Howard L. Sobel, Evdokia Sofos, Jeffrey P. Bachmann
Hearing Site: New York, NY
|  | Expungement |
| 17-03157 | 05/15/2018 | Claimant(s): Evelyn Capone, Evelyn A. Capone 1997 Trust
Claimant Lawyers(s): Ronald Capone
Respondent(s): Shearman, Ralston Inc.
Respondent Lawyers(s): Douglas P. Ralston
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | $163 |
