| 10-04241 | 09/23/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Katherine M. Planer
Respondent(s): Daniel Casella
Respondent Lawyers(s): Daniel R Casella
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | $0 |
| 10-05426 | 09/23/2011 | Claimant(s): Douglas Woodham
Claimant Lawyers(s): Paul T. Shoemaker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Martin L. Feinberg, Carole R. Bernstein, David Serko
Hearing Site: New York, NY
| | $0 |
| 10-00721 | 09/23/2011 | Claimant(s): Ron Barry, Susan Barry
Claimant Lawyers(s): Ron Barry
Respondent(s): Kenneth Lynn, Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Stephen J. Storen, Richard Weinberger, Leah R. Marks
Hearing Site: New York, NY
|  | $0 |
| 10-04673 | 09/23/2011 | Claimant(s): Bruce D. Angiolillo and Carol Angiolillo
Claimant Lawyers(s): Mitchell Berns
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Susan Mills Richmond, Zuhayr A. Moghrabi, Erica Bunin
Hearing Site: New York, NY
| | $1,125,140 |
| 09-06333 | 09/20/2011 | Claimant(s): Maria Pitch, Nicholas Pitch
Claimant Lawyers(s): Brian S. Conneely
Respondent(s): David Feigeles, Henry Fichtner, Oppenheimer & Co.., Mark Hotton
Respondent Lawyers(s): Michael Finkelstein, Peter Byer
Arbitrator(s): Mark Mendley, Joseph Mark Hubbell, Adam B. Lass
Hearing Site: New York, NY
| | $0 |
| 10-04129 | 09/20/2011 | Claimant(s): Nua Shala, ARI International., ORA Business Services.
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Silva
Respondent Lawyers(s): Matthew C. Applebaum, Robert Scott Silva
Arbitrator(s): Vicki Z. Holleman, Judith Fields Jurney, Lincoln W. Craighead
Hearing Site: New York, NY
| | $0 |
| 11-00878 | 09/16/2011 | Claimant(s): The Pola Gefen Trust
Claimant Lawyers(s): Milton R. Gleit
Respondent(s): Steven Klein
Respondent Lawyers(s): Steven Douglas Klein
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | $1,585,520 |
| 10-03837 | 09/14/2011 | Claimant(s): The Richard Steinberg Living Trust
Claimant Lawyers(s): David E. Bamberger
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Kinchen C. Bizzell, Alun Hywel Jones, Ivan W. Harper
Hearing Site: New York, NY
| | $0 |
| 10-02949 | 09/13/2011 | Claimant(s): Eugene Russo, Mary Cammarano
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael Zaretsky
Arbitrator(s): Leona Beane, Harold Glenn Stafford, David J. Weisenfeld
Hearing Site: New York, NY
| | $0 |
| 11-00644 | 09/07/2011 | Claimant(s): Rocco Guidicipietro
Claimant Lawyers(s): Michael S Colombo
Respondent(s): Joseph Degregorio
Respondent Lawyers(s): Benjamin Suess
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
| | $0 |
