| 18-02978 | 07/07/2023 | Claimant(s): Liet Han
Claimant Lawyers(s): Blaine H. Bortnick
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael J. Charlillo
Arbitrator(s): Linda J. Baer, Sean F. Monahan, Mitchell Regenbogen
Hearing Site: New York, NY
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| 19-00859 | 09/13/2022 | Claimant(s): Terence Dolan, Benjamin & Jerold Brokerage I
Claimant Lawyers(s): Warren A. Raiti
Respondent(s): Cowen and Company
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): James M. Rhodes, Mitchell Regenbogen, Robert Lee Bull
Hearing Site: New York, NY
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| 19-02480 | 08/11/2021 | Claimant(s): Frederick Williams
Claimant Lawyers(s): Daniel Scott Furst
Respondent(s): Richard Giles, GFI Securities LLC
Respondent Lawyers(s): Nirav S. Shah
Arbitrator(s): Andrew Joseph Donovan, Mitchell Regenbogen, James Stanley Kozera
Hearing Site: New York, NY
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| 18-04216 | 07/09/2021 | Claimant(s): Andrew Safran
Claimant Lawyers(s): Jonathan S. Sack
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Paul R. Walsh, Richard A. Cini, Mitchell Regenbogen
Hearing Site: New York, NY
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| 20-00573 | 08/11/2020 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Jessica Klein
Respondent(s): Gavriel Kandkhorov
Respondent Lawyers(s): Jay L. Hack
Arbitrator(s): Mitchell Regenbogen
Hearing Site: New York, NY
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| 18-03735 | 03/20/2020 | Claimant(s): William Lee
Claimant Lawyers(s): Aegis J. Frumento
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Francis J. LaSalla, Steven Gary Leventhal, Mitchell Regenbogen
Hearing Site: New York, NY
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| 17-01463 | 06/12/2018 | Claimant(s): Sue Cheung
Claimant Lawyers(s): Martin Unger
Respondent(s): USAA Financial Advisors.
Respondent Lawyers(s): David W. Erb
Arbitrator(s): Mitchell Regenbogen
Hearing Site: New York, NY
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| 13-03587 | 02/01/2018 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Margaret L. Watson
Respondent(s): James Collins
Respondent Lawyers(s): James Creighton Collins
Arbitrator(s): Mitchell S. Friedman, Nancy Plesser Wendell, Mitchell Regenbogen
Hearing Site: New York, NY
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| 14-01737 | 06/22/2015 | Claimant(s): Selena Persad
Claimant Lawyers(s): Andrew St. Laurent
Respondent(s): Reva Capital Markets LLC
Respondent Lawyers(s): Robert I. Rabinowitz
Arbitrator(s): Jill I. Gross, Stephen J. Patti, Mitchell Regenbogen
Hearing Site: New York, NY
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