| 17-01907 | 04/19/2018 | Claimant(s): Jason Katz
Claimant Lawyers(s): Amy Beth Bard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Harvey Barrison, Edward Baer, Evdokia Sofos
Hearing Site: New York, NY
| | |
| 17-01608 | 04/19/2018 | Claimant(s): John A. Pacifico Roth IRA
Claimant Lawyers(s): John Pacifico
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
|  | $0 |
| 17-02261 | 04/17/2018 | Claimant(s): Elizabeth Angelone
Claimant Lawyers(s): Owen Harnett
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Stephen A. Weiner
Hearing Site: New York, NY
| | |
| 17-03078 | 04/17/2018 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Richard Montaldo
Respondent Lawyers(s): Richard Frank Montaldo
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
| | |
| 17-02299 | 04/13/2018 | Claimant(s): Sigvard Heurlin
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Stephen Grivas, Obsidian Financial Group
Respondent Lawyers(s): John Telfer, Stephen Grivas
Arbitrator(s): Martin Mushkin
Hearing Site: New York, NY
| | $154,891 |
| 17-02157 | 04/09/2018 | Claimant(s): Matthew Gold
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
| | |
| 16-03148 | 04/09/2018 | Claimant(s): Scott Feldman, The Scott H & Janet J Feldman Rev. Trust
Claimant Lawyers(s): Michael S. Burg
Respondent(s): UBS Financial Services Inc., Michael Keane
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Jay Alan Kranis, Lorrie E Whitfield, Lorraine Marie Brennan
Hearing Site: New York, NY
| | $805,120 |
| 17-01537 | 04/05/2018 | Claimant(s): Peter Marketos
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Oppenheimer & Co.., Raymond, James & Associates.
Respondent Lawyers(s): Ralph T. Izzo, Robert M. Rudnicki
Arbitrator(s): Ted M. Rosen
Hearing Site: New York, NY
| | |
| 17-02023 | 04/05/2018 | Claimant(s): Norman Epstein
Claimant Lawyers(s): Nicolis Singer
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Deborah Burstein
Arbitrator(s): Lise Gabrielle Hunter
Hearing Site: New York, NY
| | |
| 15-01484 | 04/04/2018 | Claimant(s): Euro Pacific Capital.
Claimant Lawyers(s): Rachael Kierych
Respondent(s): Oppenheimer & Co. Inc.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Robert J. Kheel, Jack Friedman, Jerry M. Greenspan
Hearing Site: New York, NY
| | |
