| 17-02877 | 02/08/2018 | Claimant(s): Benjamin Sax, Eric Bodner
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollone
Arbitrator(s): William James Cortellessa
Hearing Site: New York, NY
| | |
| 17-01140 | 02/06/2018 | Claimant(s): Sddco Brokerage Advisors LLC
Claimant Lawyers(s): Kevin Koplin
Respondent(s): First Capital Real Estate Investments
Respondent Lawyers(s): Joshua D. Brinen
Arbitrator(s): Sandra D. Parker, Keely D. Parr, Tychelle Dephroneicia McLaurin
Hearing Site: New York, NY
| | |
| 16-00060 | 02/06/2018 | Claimant(s): Carl Osborne III IRA, Carl Osborne III SEP IRA, Susan Osborne SEP IRA
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Bruce Meyers, Meyers Associates, L.P.
Respondent Lawyers(s): Bruce Meyers, Gregory S. Sparer
Arbitrator(s): Brian J. Burstin, Charles F. Titterton, Jay Alan Kranis
Hearing Site: New York, NY
|  | $45,425 |
| 16-03578 | 02/02/2018 | Claimant(s): David Demos
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): David A. Paul
Arbitrator(s): Stanley F. Meyerson, Stephen A. Weiner, Gerald H. Grayson
Hearing Site: New York, NY
| | |
| 13-03587 | 02/01/2018 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Margaret L. Watson
Respondent(s): James Collins
Respondent Lawyers(s): James Creighton Collins
Arbitrator(s): Mitchell S. Friedman, Nancy Plesser Wendell, Mitchell Regenbogen
Hearing Site: New York, NY
| | |
| 17-00802 | 01/31/2018 | Claimant(s): Primary Capital
Claimant Lawyers(s): Ross David Carmel
Respondent(s): Joseph Fuller
Respondent Lawyers(s): Joseph Patrick Fuller
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: New York, NY
| | |
| 15-01481 | 01/31/2018 | Claimant(s): Eunice Becker
Claimant Lawyers(s): Frank R. Schirripa
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stuart Daniels
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Ruthann Granito, Sidney N. Weiss, Robert E. Anderson
Hearing Site: New York, NY
| | Expungement |
| 17-00520 | 01/29/2018 | Claimant(s): Drema Weaver, BB&T Investment Services.
Claimant Lawyers(s): Katherine McGrail
Respondent(s): Carl Foxworth, Mollie Foxworth
Respondent Lawyers(s): Gene M. Connell
Arbitrator(s): Allan N. Taffet, Mary Ellen Burns, Richard A. Cini
Hearing Site: New York, NY
| | Expungement |
| 16-03597 | 01/24/2018 | Claimant(s): Industrial And Commercial Bank Of China
Claimant Lawyers(s): Steven Eckhaus
Respondent(s): Harold Hughes, Ignatius Desimone, James DeAlto, Peter Volino, Richard Misiano, Robert Akeson, Mirae Asset Securities (Usa) Inc.
Respondent Lawyers(s): Benjamin S. Kaminetzky
Arbitrator(s): Leslie Ruth Nydick, James Stanley Kozera, Peter E. Gillespie
Hearing Site: New York, NY
| | |
| 17-01215 | 01/19/2018 | Claimant(s): Mark Kaschenbach
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
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