22-00928 | 11/15/2023 | Claimant(s): Alvaro Gonzalez Claimant Lawyers(s): Blaine Bortnick Respondent(s): UBS Securities LLC Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Kimberly C. Lawrence, Phillip Weitzman, Harold Bruce Aspis Hearing Site: New York, NY
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22-01108 | 05/30/2023 | Claimant(s): Mihir Jobalia Claimant Lawyers(s): Robert L. Herskovits Respondent(s): KPMG Corporate Finance LLC Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Jonathan H. Krotinger Hearing Site: San Francisco, CA
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22-02058 | 05/24/2023 | Claimant(s): Rodrigo Jolig Claimant Lawyers(s): Ethan Andrew Brecher Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Keely D. Parr, Kellisia Hazlewood, Rick Rutman Hearing Site: New York, NY
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22-00500 | 01/23/2023 | Claimant(s): Hai Xu Claimant Lawyers(s): Marc D Schifanelli Respondent(s): HSBC Securities (USA) Inc. Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Jeffrey Axelrad Hearing Site: Baltimore, MD
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21-02507 | 12/05/2022 | Claimant(s): Michael Miller Claimant Lawyers(s): Gregg Adler Respondent(s): TD Private Client Wealth LLC Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Edward S. Hill, Patrick Leo Kennedy, Peter E. Gillespie Hearing Site: Hartford, CT
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20-00670 | 11/15/2022 | Claimant(s): Christopher Burns Claimant Lawyers(s): John David Singer Respondent(s): Capital One Securities. Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Joshua Mark Zucker, Steven Gary Leventhal, Michael David Blechman Hearing Site: New York, NY
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21-01342 | 09/23/2022 | Claimant(s): Thiago Melzer Claimant Lawyers(s): Jonathan S. Sack Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Kenneth Diamond, Amy Jill Baranoff, Peter E. Gillespie Hearing Site: New York, NY
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20-03729 | 04/27/2022 | Claimant(s): William Price Claimant Lawyers(s): William Price Respondent(s): HSBC Securities (USA) Inc. Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Harvey E. Benjamin, Franklin Kass Moss, Richard Gary Stelnik Hearing Site: New York, NY
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20-00511 | 02/10/2022 | Claimant(s): David Thompson Claimant Lawyers(s): Brian J. Neville Respondent(s): TD Private Client Wealth Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Leonard E. Benade, Douglas Earl McLaren, Norman Lee Gunn Hearing Site: Charlotte, NC
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20-01857 | 02/03/2022 | Claimant(s): Paul Coleman Claimant Lawyers(s): Marie Mirch Respondent(s): Chase Investment Services Corp., HSBC Securities (USA) Inc. Respondent Lawyers(s): Ira G. Rosenstein, Michael a. Gross Arbitrator(s): Robert M. Singer Hearing Site: Hartford, CT
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