| 20-03766 | 09/23/2021 | Claimant(s): Christopher Bond
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily Hayes
Arbitrator(s): Steven J. Petrie, Anna M. Fanelli, Royce Russell
Hearing Site: New York, NY
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| 18-03984 | 12/04/2020 | Claimant(s): Larry Schmalz, Robin Schmalz
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): David Spratt, Joseph Amato, Kujtim Lulani, Michael Castillero, Rocco Guidicipietro, Thomas Sullivan, Alexander Capital, L.P.
Respondent Lawyers(s): Lawrence R. Gelber, Scott Holcomb
Arbitrator(s): Royce Russell, Gerald M. Levine, Peter E. Gillespie
Hearing Site: New York, NY
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| 18-04300 | 05/28/2019 | Claimant(s): Randolph Feliz
Claimant Lawyers(s): Randolph Kendall Feliz
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Allan S. Bloom
Arbitrator(s): Royce Russell, Christian Leslie Billet, Albert Rizzo
Hearing Site: New York, NY
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| 10-05444 | 03/16/2011 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Morgan Stanley, Stephen Beatty
Respondent Lawyers(s): David A. Stein, Joe Gehring
Arbitrator(s): Aubrey Lees, Mark J. Happe, Royce Russell
Hearing Site: New York, NY
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| 09-05369 | 02/17/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Dennis Briscoe
Respondent Lawyers(s): Dennis B. Briscoe
Arbitrator(s): Stanley F. Meyerson, Romaine L. Gardner, Royce Russell
Hearing Site: New York, NY
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| 09-04107 | 12/29/2010 | Claimant(s): Jeffrey Bischoff
Claimant Lawyers(s): Matthew W. Woodruff
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer M. Horowitz
Arbitrator(s): Royce Russell, Zuhayr A. Moghrabi, Gary Leonard Leventhal
Hearing Site: New York, NY
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| 06-01892 | 01/23/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jennifer R. Seltenrich
Respondent(s): John Kennedy
Respondent Lawyers(s): Raymond Nardo
Arbitrator(s): Norris D. Wolff, Stuart Rothenstein, Royce Russell
Hearing Site: New York, NY
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