| 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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| 20-02320 | 06/30/2022 | Claimant(s): Michael Riemerschmid
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Robert H. Bernstein
Arbitrator(s): Nancy Kramer, Ronald Harris Kisner, Phillip Weitzman
Hearing Site: New York, NY
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| 21-01920 | 03/11/2022 | Claimant(s): Alicia Hinojosa Gutierrez
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Judith C. Zerden, Phillip Weitzman, Serge Krimnus
Hearing Site: New York, NY
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| 18-03877 | 08/26/2021 | Claimant(s): Michael Gardner
Claimant Lawyers(s): Daniel Branower
Respondent(s): Cantor Fitzgerald Europe, Cantor Fitzgerald Investment Advisors LP
Respondent Lawyers(s): Nirav S. Shah
Arbitrator(s): Walter Arthur Saurack, Phillip Weitzman, Nancy Marie Thevenin
Hearing Site: New York, NY
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| 16-02256 | 03/01/2018 | Claimant(s): Rochdale Securities LLC
Claimant Lawyers(s): Aaron A. Romney
Respondent(s): Carl Acebes, Daniel Crowley, Hal Tunick, Harlan Sender, Kristen Talgo, Quad Capital
Respondent Lawyers(s): Aaron A. Romney, Michael A. Kleinman, Paul W. Ryan
Arbitrator(s): Leonard M. Bakal, Gregory J. Getz, Phillip Weitzman
Hearing Site: New York, NY
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| 15-00970 | 12/13/2017 | Claimant(s): Marc Levy
Claimant Lawyers(s): John D. Singer
Respondent(s): MetLife Securities Inc.
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Nancy Plesser Wendell, Phillip Weitzman
Hearing Site: New York, NY
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| 12-01916 | 03/20/2015 | Claimant(s): Barry Cassese
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Charles Carrillo, Louis Ward, Michael Finnan, Paul Metz, K.C. Ward Financial, Morgan Wilshire Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Robert I. Rabinowitz, Robert Van De Veire
Arbitrator(s): Linda Ashley, C. Kenneth Yoblon, Phillip Weitzman
Hearing Site: New York, NY
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