| 20-01846 | 12/10/2021 | Claimant(s): Josh Frankel
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Chase Investment Services Corp., HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein, Thomas J. Cahill
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
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| 21-00392 | 09/03/2021 | Claimant(s): Adam Gross
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Joseph F. Kelley, David J. Weisenfeld, Peter E. Gillespie
Hearing Site: New York, NY
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| 20-03879 | 07/20/2021 | Claimant(s): Ana Pazmino
Claimant Lawyers(s): Darryl J. Bouganim
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Paul K. Barenholtz, Annamaria Boccia Smith, Edward W. Morris
Hearing Site: New York, NY
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| 19-03171 | 02/24/2021 | Claimant(s): Scott Eichel
Claimant Lawyers(s): Todd A. Gutfleisch
Respondent(s): NatWest Markets Securities Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Michael Jaffe, John K. Evans, Wallace Anthony Showman
Hearing Site: New York, NY
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| 20-01188 | 01/07/2021 | Claimant(s): Rinaldo Crassa
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): James Alexander Brown
Hearing Site: New York, NY
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| 20-00051 | 11/13/2020 | Claimant(s): Ryan Ackerhalt
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): David S. Billet
Hearing Site: New York, NY
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| 20-00660 | 09/18/2020 | Claimant(s): Daniel Nawrocki
Claimant Lawyers(s): John D. Singer
Respondent(s): Cowen and Company
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
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| 18-03824 | 06/10/2020 | Claimant(s): Anthony Cipolla
Claimant Lawyers(s): Thomas A. Brown
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): James A. Joseph, Jeffry M. Bauer, Gary E Vickers
Hearing Site: Buffalo, NY
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| 20-00387 | 05/12/2020 | Claimant(s): Hitesh Mittal
Claimant Lawyers(s): David I. Hantman
Respondent(s): Alps Distributors.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
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| 17-03511 | 03/13/2020 | Claimant(s): Gregory Zimmerman, Staci Walls
Claimant Lawyers(s): Aaron Israels
Respondent(s): Alps Distributors., Alps Portfolio Solutions Distributor Inc
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Ilene T. Gormly
Hearing Site: Denver, CO
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