| 20-01644 | 02/12/2021 | Claimant(s): Gisselle Mata
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dulap
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
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| 19-02043 | 01/03/2020 | Claimant(s): Mitchell Hassenbein
Claimant Lawyers(s): Faun Marie Phillipson
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
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| 18-01670 | 07/24/2019 | Claimant(s): Kestra Financial., Kestra Investment Services
Claimant Lawyers(s): Richard D'Amura
Respondent(s): Stephen Luz
Respondent Lawyers(s): Jeb Singer
Arbitrator(s): Harvey Barrison, Marvin Schleyer, Michele S. Riley
Hearing Site: New York, NY
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| 18-03264 | 05/14/2019 | Claimant(s): Michael Fasciglione
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation, Continental Broker-Dealer Corp.
Respondent Lawyers(s): Emily A. Hayes, Michael Clements
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
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| 18-01482 | 01/02/2019 | Claimant(s): Christopher Mittleman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
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| 17-00399 | 03/16/2018 | Claimant(s): Taylor Joseph
Claimant Lawyers(s): James W Halter
Respondent(s): Imperial Capital
Respondent Lawyers(s): Bentley P. Stansbury
Arbitrator(s): Michele S. Riley, Veronica Ann Williams, Cirino M. Bruno
Hearing Site: New York, NY
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| 14-00212 | 03/24/2016 | Claimant(s): Newoak Capital LLC, Newoak Capital Markets LLC
Claimant Lawyers(s): Joseph M. Pastore
Respondent(s): Alexander Sellinger, Bryan Nagy, Patrick Mahon, Samuel Warren, Brean Capital
Respondent Lawyers(s): Thomas J. Fleming
Arbitrator(s): Jeffrey F. Friedman, Steven J. Brill, Michele S. Riley
Hearing Site: New York, NY
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| 14-01061 | 02/23/2016 | Claimant(s): Rochdale Securities LLC
Claimant Lawyers(s): Aaron Romney
Respondent(s): Daniel Crowley, Pershing LLC
Respondent Lawyers(s): Christopher J. Major, Daniel R. Korb
Arbitrator(s): Paul Bennett Marrow, Michele S. Riley, Raymond A. Urci
Hearing Site: New York, NY
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| 14-01312 | 08/11/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s): Nick Hsieh
Respondent Lawyers(s): Thomas J. McCabe
Arbitrator(s): Richard W. Cutler, Michele S. Riley, Mark J. Happe
Hearing Site: New York, NY
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| 14-00534 | 04/29/2015 | Claimant(s): Dana Brett-Levy
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Castleoak Securities
Respondent Lawyers(s): Denver G. Edwards
Arbitrator(s): William G. Binckes, John B. Myers, Michele S. Riley
Hearing Site: New York, NY
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