| 17-02798 | 06/15/2018 | Claimant(s): David Levine
Claimant Lawyers(s): David I. Hantman
Respondent(s): Ameriprise Financial Services., UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono, Howard M. Klausmeier
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
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| 17-02503 | 05/31/2018 | Claimant(s): Amanda Glanz
Claimant Lawyers(s): Eric Litow
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Catherine Stewart
Hearing Site: Newark, NJ
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| 18-01008 | 05/25/2018 | Claimant(s): Matthew Lasko
Claimant Lawyers(s): David I. Hantman
Respondent(s): Morgan Keegan & Company
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
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| 18-00739 | 05/18/2018 | Claimant(s): Owen McBride
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Gregory G. Gocek
Hearing Site: Cleveland, OH
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| 17-02285 | 05/15/2018 | Claimant(s): Frank Voli
Claimant Lawyers(s): Michael Bessette
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Muriel Desloovere
Hearing Site: Raleigh, NC
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| 17-01843 | 04/27/2018 | Claimant(s): Avinash Daswani
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
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| 18-00740 | 04/27/2018 | Claimant(s): Chad Hartup, William Murphy
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Susan L. Walker
Hearing Site: Cleveland, OH
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| 17-01983 | 03/29/2018 | Claimant(s): Regina Bernarduci
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman, Jon D. Kaplon
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
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| 17-03273 | 03/29/2018 | Claimant(s): Mallory Brenner
Claimant Lawyers(s): David I. Hantman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Fern Strauss
Arbitrator(s): Stephen A. Weiner
Hearing Site: New York, NY
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| 17-01310 | 03/05/2018 | Claimant(s): Christopher Metcalf, Jeffrey Cole
Claimant Lawyers(s): David Erez Dobin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Marissa A. Santangelo, Edward W. Morris, Catherine M. Gallagher
Hearing Site: Hartford, CT
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