| 20-03215 | 03/02/2022 | Claimant(s): Todd Cirella
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Laidlaw & Company (UK) Ltd., Sands Brothers & Co., Ltd.
Respondent Lawyers(s): Charles Smulevitz, Gail Fanelli
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
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| 21-01630 | 01/11/2022 | Claimant(s): David Spratt
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Alexander Capital, L.P.
Respondent Lawyers(s): Rocco Guidicipierto
Arbitrator(s): Dora M. Lassinger, Gerald M. Levine, Judith C. Aarons
Hearing Site: New York, NY
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| 21-01539 | 08/12/2021 | Claimant(s): Gregory Shanaphy
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
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| 20-03220 | 07/15/2021 | Claimant(s): Dennis Herrera
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Aegis Capital Corp., Hunter Scott Financial LLC., John Thomas Financial
Respondent Lawyers(s): Corporate Office, Kevin Meade, Peter Gouzos
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
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| 21-00043 | 06/23/2021 | Claimant(s): Richard Morse
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Madelon M. Rosenfeld, Gerald M. Levine, Steven Gargiulo
Hearing Site: New York, NY
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| 20-00239 | 10/28/2020 | Claimant(s): Robert Slovinsky
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
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| 20-00191 | 07/17/2020 | Claimant(s): Jason Latos
Claimant Lawyers(s): Kurt Kalberer
Respondent(s): J.P. Morgan Securities Inc
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
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| 19-00077 | 05/12/2020 | Claimant(s): Amit Mehrotra
Claimant Lawyers(s): David B. Wechsler
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Roger Loeb, Judith B Weinstock, Gerald M. Levine
Hearing Site: New York, NY
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| 19-02073 | 01/13/2020 | Claimant(s): Paul Campbell
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
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| 19-01987 | 12/20/2019 | Claimant(s): David McIlroy
Claimant Lawyers(s): Susan M. Kelleher
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
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