| 22-00928 | 11/15/2023 | Claimant(s): Alvaro Gonzalez
Claimant Lawyers(s): Blaine Bortnick
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Kimberly C. Lawrence, Phillip Weitzman, Harold Bruce Aspis
Hearing Site: New York, NY
| | |
| 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
| | |
| 21-01920 | 03/11/2022 | Claimant(s): Alicia Hinojosa Gutierrez
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Judith C. Zerden, Phillip Weitzman, Serge Krimnus
Hearing Site: New York, NY
| | |
| 21-02032 | 02/07/2022 | Claimant(s): Aron Greenstein
Claimant Lawyers(s): Christine Lazaro
Respondent(s): Steven Novick
Respondent Lawyers(s): Steven Scott Novick
Arbitrator(s): Phillip Weitzman
Hearing Site: New York, NY
|  | $5,175 |
| 18-03877 | 08/26/2021 | Claimant(s): Michael Gardner
Claimant Lawyers(s): Daniel Branower
Respondent(s): Cantor Fitzgerald Europe, Cantor Fitzgerald Investment Advisors LP
Respondent Lawyers(s): Nirav S. Shah
Arbitrator(s): Walter Arthur Saurack, Phillip Weitzman, Nancy Marie Thevenin
Hearing Site: New York, NY
| | |
| 18-01316 | 06/17/2019 | Claimant(s): Israel Sporn
Claimant Lawyers(s): James P Galvin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Ruthann Granito
Arbitrator(s): Laura Carraher, Michele S. Riley, Phillip Weitzman
Hearing Site: New York, NY
| | Expungement |
| 18-01689 | 09/10/2018 | Claimant(s): Tastyworks.
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Grace Seo
Respondent Lawyers(s): Grace Seo
Arbitrator(s): Phillip Weitzman
Hearing Site: New York, NY
| | $0 |
| 16-02256 | 03/01/2018 | Claimant(s): Rochdale Securities LLC
Claimant Lawyers(s): Aaron A. Romney
Respondent(s): Carl Acebes, Daniel Crowley, Hal Tunick, Harlan Sender, Kristen Talgo, Quad Capital
Respondent Lawyers(s): Aaron A. Romney, Michael A. Kleinman, Paul W. Ryan
Arbitrator(s): Leonard M. Bakal, Gregory J. Getz, Phillip Weitzman
Hearing Site: New York, NY
| | |
| 15-00970 | 12/13/2017 | Claimant(s): Marc Levy
Claimant Lawyers(s): John D. Singer
Respondent(s): MetLife Securities Inc.
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Nancy Plesser Wendell, Phillip Weitzman
Hearing Site: New York, NY
| | |
| 13-02511 | 08/18/2015 | Claimant(s): Cynthia Scott, Jean Ruggiero
Claimant Lawyers(s): Michael James Maloney
Respondent(s): Aldo Valente, Wells Fargo Advisors Financial Network, Citigroup Global Markets., Nelson Martins, MetLife Investors Distribution Company
Respondent Lawyers(s): David J. Butler, Michael Naccarato
Arbitrator(s): Clarence Smith, Frank Joseph Clemens, Phillip Weitzman
Hearing Site: New York, NY
| | Expungement |
