| 21-00392 | 09/03/2021 | Claimant(s): Adam Gross
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Joseph F. Kelley, David J. Weisenfeld, Peter E. Gillespie
Hearing Site: New York, NY
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| 17-00714 | 06/28/2018 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Eliza A. Kaiser
Respondent(s): John Huwiler, Pierre Guerin
Respondent Lawyers(s): Eliza A. Kaiser, Lawrence M. Pearson
Arbitrator(s): Harvey Barrison, David J. Weisenfeld, Nicholas R. Weiskopf
Hearing Site: New York, NY
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| 14-02150 | 12/30/2015 | Claimant(s): Gregory Martino
Claimant Lawyers(s): Philip M. Halpern
Respondent(s): Charles Reiling, Francis Mitchell, Michael Donnelly, Coastal Equities.
Respondent Lawyers(s): Dana S. Gloor, Daniel J. Donovan, Francis G. Mitchell
Arbitrator(s): Henry F. Minnerop, Alice E. Winkler, David J. Weisenfeld
Hearing Site: New York, NY
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| 13-02035 | 06/17/2015 | Claimant(s): Julia Numair
Claimant Lawyers(s): John D. Singer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Mary A. Dubas, James M. Rhodes, David J. Weisenfeld
Hearing Site: New York, NY
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| 13-03703 | 02/04/2015 | Claimant(s): Adeola Palmer
Claimant Lawyers(s): Brittany Weiner
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Leni D. Battaglia
Arbitrator(s): Julian F. Santos, Irwin Pronin, David J. Weisenfeld
Hearing Site: New York, NY
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| 13-00518 | 01/26/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): David Hanford, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James A. Saville, Louis M. Lagalante
Arbitrator(s): Bernard M. Levine, Michael L. Moran, David J. Weisenfeld
Hearing Site: New York, NY
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| 13-00762 | 07/31/2014 | Claimant(s): Ritankar Pal
Claimant Lawyers(s): Marc A. Susswein
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Theodore O. Rogers
Arbitrator(s): David J. Weisenfeld, Jay Alan Kranis, Michael J. Contrastano
Hearing Site: New York, NY
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| 12-01252 | 03/25/2014 | Claimant(s): Shaun Moran
Claimant Lawyers(s): Shaun Moran
Respondent(s): Banc of America Securities LLC, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Walter C. Parrish, David J. Weisenfeld, Barbara Antonello Mentz
Hearing Site: New York, NY
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| 13-00088 | 03/19/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Anthony Manougian
Respondent Lawyers(s): Anthony Manougian
Arbitrator(s): Alan A. Gray, Richard E. Castiglioni, David J. Weisenfeld
Hearing Site: New York, NY
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| 11-03124 | 03/14/2013 | Claimant(s): James Kuczmarski
Claimant Lawyers(s): Michael G. Berger
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Patrick Shea
Arbitrator(s): Annamaria Boccia Smith, David J. Weisenfeld, Kevin P. Feerick
Hearing Site: New York, NY
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