| 23-02740 | 05/16/2024 | Claimant(s): Donald Durando
Claimant Lawyers(s): Joshua Kons
Respondent(s): PHX Financial.
Respondent Lawyers(s): Kevin Chen
Arbitrator(s): Laura Carraher, Nancy Kramer, Maurice W Heller
Hearing Site: New York, NY
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| 23-03011 | 04/03/2024 | Claimant(s): Loren Weiss
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Nancy Kramer
Hearing Site: New York, NY
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| 20-03466 | 03/03/2023 | Claimant(s): David Maris
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Wells Fargo Securities
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Margarita Echevarria, Nancy Kramer, Mario Cho Valdes
Hearing Site: New York, NY
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| 20-02320 | 06/30/2022 | Claimant(s): Michael Riemerschmid
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Robert H. Bernstein
Arbitrator(s): Nancy Kramer, Ronald Harris Kisner, Phillip Weitzman
Hearing Site: New York, NY
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| 16-03360 | 06/27/2018 | Claimant(s): Daniel Malone
Claimant Lawyers(s): Benjamin D. Weisenberg
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Peter L. Altieri
Arbitrator(s): Sandra D. Parker, Nancy Kramer, Adam J. Ciffone
Hearing Site: New York, NY
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| 17-01717 | 11/17/2017 | Claimant(s): Michael Prokop
Claimant Lawyers(s): David I. Hantman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Nancy Kramer
Hearing Site: New York, NY
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| 16-00758 | 05/19/2017 | Claimant(s): Deron Goodwin
Claimant Lawyers(s): Jonathan Sack
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Ivan W. Harper, Nancy Kramer, Robert Francis Geary
Hearing Site: New York, NY
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| 13-02084 | 02/26/2016 | Claimant(s): Jonathan Jacoby
Claimant Lawyers(s): Laurence S. Moy
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Leah G. Rabinowitz, Margarita Echevarria, Nancy Kramer
Hearing Site: New York, NY
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| 13-00440 | 12/18/2014 | Claimant(s): John Thomas Financial
Claimant Lawyers(s): Dan Druz
Respondent(s): Anthony Maiuolo, Darren Himmelstein, Keith Williams, Renos Gordos, Rodney Laveau
Respondent Lawyers(s): Adam D. Cole
Arbitrator(s): Nancy Kramer, Robert E. Riccobono, Mildred Cruz-Dorta
Hearing Site: New York, NY
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| 14-00088 | 09/19/2014 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): John W. Stenson
Respondent(s): Douglas Campbell
Respondent Lawyers(s): Douglas Walter Campbell
Arbitrator(s): Nancy Kramer
Hearing Site: New York, NY
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