| 23-02240 | 05/22/2024 | Claimant(s): Gerard Kelly III
Claimant Lawyers(s): Craig Stein
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Steven M. Greenbaum, Layne Verebay, Edward R. Niederriter
Hearing Site: Boca Raton, FL
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| 22-01639 | 02/05/2024 | Claimant(s): Deborah Adeimy
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Beth A. Black
Arbitrator(s): Edward R. Niederriter, Scott Manker, Rene Enrique Lamar
Hearing Site: Boca Raton, FL
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| 23-01178 | 01/05/2024 | Claimant(s): Christopher Lazos
Claimant Lawyers(s): Jonathan Uretsky
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William H. Badinelli
Arbitrator(s): Edward R. Niederriter, Marie G. Peterson, Leslie Bauknight Nixon
Hearing Site: Boca Raton, FL
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| 23-00565 | 07/25/2023 | Claimant(s): Donald Dever
Claimant Lawyers(s): Gregory S. Sparer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
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| 22-00780 | 12/15/2022 | Claimant(s): Matthew Harris
Claimant Lawyers(s): Samantha Pastor
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
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| 22-00356 | 10/14/2022 | Claimant(s): Adrian Lorenzo, David Burg
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
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| 22-00627 | 10/06/2022 | Claimant(s): Angelo Kafkes
Claimant Lawyers(s): Craig Stein
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Edward R. Niederriter, Stephen Kahane, Robert G. Falbisaner
Hearing Site: Boca Raton, FL
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| 21-01554 | 01/18/2022 | Claimant(s): Yulia Kalk
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): 1st Discount Brokerage.
Respondent Lawyers(s): Nicky Cheng
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
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| 20-01606 | 01/08/2021 | Claimant(s): James Springer
Claimant Lawyers(s): Nisha S. Wright
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Edward R. Niederriter, Sheryl Sagel, Justin Wallace Askins
Hearing Site: Boca Raton, FL
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| 20-00735 | 12/21/2020 | Claimant(s): Daniel Shannon
Claimant Lawyers(s): Michael A. Gross
Respondent(s): M Holdings Securities.
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
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