| 22-00036 | 10/25/2022 | Claimant(s): Justin Neubauer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Richard Gee
Hearing Site: New York, NY
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| 20-02348 | 04/16/2021 | Claimant(s): Mark Martiak
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Richard Gee
Hearing Site: New York, NY
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| 20-01132 | 01/20/2021 | Claimant(s): Nicholas Tsikitas
Claimant Lawyers(s): Irwin Weltz
Respondent(s): J.D. Nicholas & Associates.
Respondent Lawyers(s): Corporate Office Aegis Capital Corp
Arbitrator(s): Richard Gee
Hearing Site: New York, NY
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| 16-02593 | 10/29/2019 | Claimant(s): Alexandre Santos
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Citigroup Global Markets., Citibank, N.A.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Michael J McAllister, Daniel Robbins, Richard Gee
Hearing Site: New York, NY
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| 18-02902 | 05/13/2019 | Claimant(s): Scott Shames
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation, EKN Financial Services Inc.
Respondent Lawyers(s): Emily A. Hayes, Thomas Michael Giugliano
Arbitrator(s): Richard Gee
Hearing Site: New York, NY
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| 18-01209 | 08/03/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Fuad Habba
Respondent Lawyers(s): Fuad Saad Habba
Arbitrator(s): Richard Gee
Hearing Site: New York, NY
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| 16-01645 | 02/12/2018 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Ian Hummel
Respondent(s): Critical Outcome Technologies Inc.
Respondent Lawyers(s): Vivian Drohan
Arbitrator(s): Rebecca A. Novak, Daniel Robbins, Richard Gee
Hearing Site: New York, NY
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| 16-02386 | 01/23/2017 | Claimant(s): Stephen Anderson
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Jeffrey Miller, Jeffrey Tabak, Miller Tabak + Co., Mitchell Securities.
Respondent Lawyers(s): Jeffrey Miller, Thomas S. Mitchell
Arbitrator(s): Richard Gee
Hearing Site: New York, NY
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| 15-01963 | 01/20/2017 | Claimant(s): Hirak Biswas
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Patrick J. Lamparello
Arbitrator(s): Anna M. Fanelli, Mitchell Jay Bayer, Richard Gee
Hearing Site: New York, NY
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| 15-02231 | 10/20/2016 | Claimant(s): Julian Cash
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): David A. Paul
Arbitrator(s): Thomas A. O'Neill, Graham Daw, Richard Gee
Hearing Site: New York, NY
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