| 23-02656 | 10/02/2024 | Claimant(s): Rodger Thomas
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): NewBridge Securities Corp., National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes, Rick Slavik
Arbitrator(s): Edith M. Novack, Richard Steven Pollack, Kevin K Walsh
Hearing Site: Jersey City, NJ
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| 21-02412 | 07/28/2022 | Claimant(s): Siddarth Reddy
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): Halcyon Cabot Partners, Ltd.
Respondent Lawyers(s): Michael S. Segal
Arbitrator(s): Dora M. Lassinger, Howard D. Jacob, Margarita Echevarria
Hearing Site: New York, NY
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| 20-02284 | 05/20/2022 | Claimant(s): Mathew Schweifler
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 20-02277 | 01/18/2022 | Claimant(s): Christopher Scroggins
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Ann McCague
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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| 20-03100 | 12/15/2021 | Claimant(s): Toni Iannarelli
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): Ameritas Investment Company
Respondent Lawyers(s): Andrea D. Snowden
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
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| 20-03071 | 11/10/2021 | Claimant(s): Mathew Schweifler
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): Rosemary Francavilla
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 20-02278 | 10/19/2021 | Claimant(s): Christopher Scroggins
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
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