| 21-00969 | 05/10/2022 | Claimant(s): Daniel Thielemann
Claimant Lawyers(s): David Fish
Respondent(s): Cantor Fitzgerald Securities
Respondent Lawyers(s): Nirav S. Shah
Arbitrator(s): Michael J. Maran, Marjorie Levine, Loretta Yin
Hearing Site: New York, NY
| | |
| 18-02740 | 11/25/2020 | Claimant(s): Finitive LLC, North Capital Private Securities Corpora
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): CleanCapital LLC, Jon Barlow Advisory LLC
Respondent Lawyers(s): Kimberly A. Havlin, Martin H. Kaplan
Arbitrator(s): Michael J. Maran, Camille S. Cooper, Ronald Harris Kisner
Hearing Site: New York, NY
|  | $0 |
| 17-02104 | 06/26/2018 | Claimant(s): Leslie and Joel Greenberg
Claimant Lawyers(s): Joel M. Greenberg
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Steven Davidson, Merrill Lynch Wealth Management
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Sandra J. Mullings, Michael J. Maran, John J. Vesey
Hearing Site: New York, NY
| | $0 |
| 15-03440 | 05/16/2017 | Claimant(s): Florian Bita
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Gabrielle Levin
Arbitrator(s): Michael J. Maran, Robert Elliot Harrison, Ronald Leven
Hearing Site: New York, NY
| | |
| 13-02580 | 05/22/2015 | Claimant(s): Linda Pennfield
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Michael J. Maran, Linda J. Baer, Roger B. Jacobs
Hearing Site: New York, NY
| | $0 |
| 07-03486 | 12/31/2008 | Claimant(s): Anthony Maccarone, Antoinette Maccarone, Steven Horn, Tara Horn
Claimant Lawyers(s): Stuart D. Meissner
Respondent(s): Julie Mains, Norman Malo, Scott Brooks, Stanley Brooks, Troy Gagliardi, Brookstreet Securities Corporation
Respondent Lawyers(s): Brian F. Amery, H. Thomas Fehn, Julie Brooks Mains, Ryan P. Farley, Scott Stanley Brooks, Stanley Clifton Brooks
Arbitrator(s): Richard S. Peskin, Michael J. Maran, Catherine Tinker
Hearing Site: New York, NY
| | $102,439 |
