| 17-01429 | 06/07/2018 | Claimant(s): Vincent Molinari
Claimant Lawyers(s): Alan Wolper
Respondent(s): Ouisa Capital LLC
Respondent Lawyers(s): Vince Molinari
Arbitrator(s): Richard W. Cutler, Ellen Slipp, Annamaria Boccia Smith
Hearing Site: New York, NY
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| 17-01566 | 02/09/2018 | Claimant(s): Sean Murphy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Nichols, Safina, Lerner & Co. Inc., Eastbrook Capital Group LLC, Maxim Group LLC
Respondent Lawyers(s): Chee Eng, Edward Samson, Ian H. Hummel
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
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| 14-03694 | 06/06/2016 | Claimant(s): Candice Willoughby
Claimant Lawyers(s): Alan L. Sklover
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd Chinn
Arbitrator(s): Michael E. Olney, Richard W. Cutler, Amy Kaplan Eckman
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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| 13-00609 | 02/03/2015 | Claimant(s): Rafael Diamond
Claimant Lawyers(s): Brian Kennedy
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Margaret L. Watson
Arbitrator(s): Richard W. Cutler, Lisa Lograno, Sandra Holtzman
Hearing Site: New York, NY
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| 10-03283 | 03/27/2013 | Claimant(s): Karen McFadden
Claimant Lawyers(s): Neil M Frank
Respondent(s): Brian Bornstein, Clarkeson Research Group Inc.
Respondent Lawyers(s): Raymond Nardo
Arbitrator(s): Richard W. Cutler, David I. Goldblatt, Lowell D. Johnston
Hearing Site: New York, NY
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| 11-02382 | 09/20/2012 | Claimant(s): Ephraim Finkelstein
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Joanne Seltzer
Arbitrator(s): Michael J. McAllister, Richard W. Cutler, Mitchell Proux
Hearing Site: New York, NY
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| 08-03852 | 07/08/2009 | Claimant(s): Peter Dunne
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Aura Financial Services.
Respondent Lawyers(s): Leon Baer Borstein
Arbitrator(s): Richard W. Cutler, James S. Goddard, Gerald H. Grayson
Hearing Site: New York, NY
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| 06-02098 | 08/14/2008 | Claimant(s): John McQueen
Claimant Lawyers(s): John McQueen
Respondent(s): Jason Parlato, A.G. Edwards & Sons.
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Patricia N. Cirillo, Richard W. Cutler, Charles Ajamian
Hearing Site: New York, NY
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| 07-01140 | 05/21/2008 | Claimant(s): Stephen Brooks
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): Merrill Lynch Investment Managers LP
Respondent Lawyers(s): Michael J. Fortunato
Arbitrator(s): Richard W. Cutler, Molly Klapper, Jerome Martin Pustilnik
Hearing Site: New York, NY
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