| 21-01370 | 02/02/2022 | Claimant(s): Nicholas Tsikitas
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
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| 20-03196 | 01/11/2022 | Claimant(s): Jason Zahtila
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): American Capital Partners, Commerce One Financial Inc.
Respondent Lawyers(s): John Gardini, Thomas J. Jennings
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
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| 18-03448 | 12/17/2021 | Claimant(s): Pius Sprenger, Srinvas Namagiri
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Lloyd Chin
Arbitrator(s): Harvey Barrison, Madelon M. Rosenfeld, Margarita Echevarria
Hearing Site: New York, NY
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| 21-00043 | 06/23/2021 | Claimant(s): Richard Morse
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Madelon M. Rosenfeld, Gerald M. Levine, Steven Gargiulo
Hearing Site: New York, NY
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| 20-00708 | 05/06/2021 | Claimant(s): Stewart Miller
Claimant Lawyers(s): Mark S. Pincus
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Philip J. Campisi
Arbitrator(s): Madelon M. Rosenfeld, Steven A. Harris, Neil A. Sussman
Hearing Site: New York, NY
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| 20-02688 | 04/30/2021 | Claimant(s): Fanie Gouws
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Commerz Markets LLC
Respondent Lawyers(s): Michael Fruchter
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
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| 19-02188 | 01/08/2021 | Claimant(s): Sandra Etienne
Claimant Lawyers(s): Locksley O. Wade
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Anna Matsuo
Arbitrator(s): Madelon M. Rosenfeld, Robert E. Anderson, Roger B. Jacobs
Hearing Site: New York, NY
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| 19-02226 | 06/02/2020 | Claimant(s): Robert Dolle
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
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| 19-02961 | 04/09/2020 | Claimant(s): Chuck Roberts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
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| 20-00295 | 04/07/2020 | Claimant(s): Cesar Chicayban
Claimant Lawyers(s): David I. Hantman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Amanda B. Protess
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
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