| 19-01331 | 01/22/2020 | Claimant(s): Jean-Matthieu Josse
Claimant Lawyers(s): Gregg J Breitbart
Respondent(s): A.G.P. / Alliance Global Partners, Aegis Capital Corp.
Respondent Lawyers(s): John Hitchings, Robert H. Decker
Arbitrator(s): Dan Brecher
Hearing Site: New York, NY
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| 15-02972 | 06/17/2019 | Claimant(s): Kyrill Firshein
Claimant Lawyers(s): John D. Singer
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Leni D. Battaglia
Arbitrator(s): Dan Brecher, Mary Julia O'Connell, Candi Marie Halbert
Hearing Site: New York, NY
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| 17-02323 | 03/15/2019 | Claimant(s): Frank Wong
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Dan Brecher, Domitilia M. dos Santos, Simone A. Muscarnera
Hearing Site: New York, NY
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| 16-01624 | 11/01/2017 | Claimant(s): Westport Resources Management.
Claimant Lawyers(s): Richard Slavin
Respondent(s): Christopher DeLaura, Fieldpoint Private Securities, Westport Resources Investment Services
Respondent Lawyers(s): Jonathan C. Thau, Richard Slavin
Arbitrator(s): Dan Brecher, Larry Kars, Randolph Guggenheimer
Hearing Site: New York, NY
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| 09-04716 | 07/16/2012 | Claimant(s): Alan Hunt, Kenneth Casey, Michael Cappa, Scott Siemers, Estate of Ronald Hal Davis
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): Guggenheim Capital Markets
Respondent Lawyers(s): Patrick C. Harrigan
Arbitrator(s): Dan Brecher, Joseph B. Russell, Alice Holly Oshins
Hearing Site: New York, NY
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