| 22-00327 | 10/18/2022 | Claimant(s): Scott Rosenberg
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Gerry E. Feinberg, Mary P. Bass, Kathleen Cawley
Hearing Site: New York, NY
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| 17-01204 | 11/23/2021 | Claimant(s): Jordan Cahn
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): David A. Paul
Arbitrator(s): Peter A. Goldman, Mary P. Bass, Jason Scott Eveleth
Hearing Site: New York, NY
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| 19-00330 | 06/05/2020 | Claimant(s): Ignatius Desimone
Claimant Lawyers(s): Edward Hernstadt
Respondent(s): Mirae Asset Securities (USA) Inc.
Respondent Lawyers(s): Dov Kesselman
Arbitrator(s): Mary P. Bass, Jay Alan Kranis, Clifford D. Dawkins
Hearing Site: New York, NY
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| 18-00795 | 12/13/2019 | Claimant(s): Susan Greenwood
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): NatWest Markets Securities Inc.
Respondent Lawyers(s): Patrick J. Lamparello
Arbitrator(s): Martin Jay Siegel, Michael H DuBoff, Mary P. Bass
Hearing Site: New York, NY
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| 17-00559 | 06/06/2018 | Claimant(s): Michael Rindos
Claimant Lawyers(s): Michael Joseph Rindos
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Daniel Scott Furst
Arbitrator(s): Susan C. Lushing, Mary P. Bass, Jerome Bernard McDevitt
Hearing Site: New York, NY
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| 15-02535 | 07/21/2017 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Shawn Hanna
Respondent Lawyers(s): Shawn Hanna
Arbitrator(s): Lucienne Carasso Bulow, Mary P. Bass, Marc Adam Sherman
Hearing Site: New York, NY
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| 17-00204 | 05/10/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Thomas Fayad
Respondent Lawyers(s): Thomas M. Fayad
Arbitrator(s): Mary P. Bass
Hearing Site: New York, NY
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| 16-01934 | 01/13/2017 | Claimant(s): Laidlaw & Company (uk) Ltd.
Claimant Lawyers(s): Ross D. Carmel
Respondent(s): Anthony Garcia
Respondent Lawyers(s): Anthony Lois Garcia
Arbitrator(s): Mary P. Bass
Hearing Site: New York, NY
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| 14-01957 | 12/31/2015 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): G. Wayne Hillis
Respondent(s): Ramon Hache
Respondent Lawyers(s): David B. Friedrich
Arbitrator(s): Howard J. Stiefel, Linda Ashley, Mary P. Bass
Hearing Site: New York, NY
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| 14-00021 | 02/23/2015 | Claimant(s): Casto Colldelrio
Claimant Lawyers(s): Sharron E. Ash
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc Of PR
Respondent Lawyers(s): Dan Rosenbaum
Arbitrator(s): James S. Hazard, Mary P. Bass, Paul George Huck
Hearing Site: New York, NY
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