| 19-03285 | 07/09/2020 | Claimant(s): Michael Greenstone
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa Gworek
Arbitrator(s): Michael H DuBoff
Hearing Site: Newark, NJ
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| 19-02063 | 06/29/2020 | Claimant(s): Peter Neuberg
Claimant Lawyers(s): Sharron E. Ash
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Bryan David Glass, Jay Alan Kranis, Ron Greenfield
Hearing Site: Newark, NJ
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| 19-02195 | 06/23/2020 | Claimant(s): Ralph Marra
Claimant Lawyers(s): Nancy L Hendrickson
Respondent(s): Morgan Stanley, UBS Financial Services Inc.
Respondent Lawyers(s): Andrew Gelfand, Melissa Gworek
Arbitrator(s): Michael H DuBoff
Hearing Site: Newark, NJ
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| 19-02315 | 06/12/2020 | Claimant(s): Stephen O'Donnell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Adam Kauff, Sarah K. Yates
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
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| 19-03452 | 06/09/2020 | Claimant(s): David Manning
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Institutional Securities, L.L.C.
Respondent Lawyers(s): James K. Langdon
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
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| 19-03489 | 05/29/2020 | Claimant(s): Ross Feigen
Claimant Lawyers(s): Maryana Feigen
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Paul Allan Massaro
Hearing Site: Newark, NJ
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| 19-03283 | 05/26/2020 | Claimant(s): Michael Greenstone
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa Gworek
Arbitrator(s): Linda J. Baer
Hearing Site: Newark, NJ
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| 19-03155 | 05/19/2020 | Claimant(s): Matthew Rotella
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Michael H DuBoff
Hearing Site: Newark, NJ
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| 19-03341 | 05/06/2020 | Claimant(s): Timothy Kenyon
Claimant Lawyers(s): Michael Lee
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Melissa Tarentino
Arbitrator(s): Fred S. Pieroni, Robert R. Salman, Francine Barbara Colon
Hearing Site: Newark, NJ
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| 18-04184 | 04/21/2020 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Frank Fava
Respondent Lawyers(s): Ronald J. Ricci
Arbitrator(s): Margarita Echevarria, Jay Alan Kranis, Sidney Seligman
Hearing Site: Newark, NJ
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