| 18-02273 | 08/10/2021 | Claimant(s): Thomas Devane
Claimant Lawyers(s): James Halter
Respondent(s): Joseph Gawronski, Vikas Shah, Rosenblatt Securities Inc., Rossoff & Co. LLC
Respondent Lawyers(s): Andrew J. Goodman, Kate E. DiGeronimo
Arbitrator(s): Terrance J. Nolan, Keith Roberts, Clive I. Morrick
Hearing Site: New York, NY
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| 18-03722 | 08/03/2020 | Claimant(s): Kenneth Margolis, Richard Luftig, Castle Placement Group, Castle Placement
Claimant Lawyers(s): James Halter
Respondent(s): Citadel Servicing Corporation
Respondent Lawyers(s): Chetna Vora
Arbitrator(s): Thomas Allan Dubbs, Peter A. Goldman, Ronald Harris Kisner
Hearing Site: New York, NY
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| 18-03521 | 10/22/2019 | Claimant(s): Susan Suarez
Claimant Lawyers(s): James Halter
Respondent(s): UBS Financial Services Inc., Mary Zawacki
Respondent Lawyers(s): John P. Leonard
Arbitrator(s): Philip M. Mandel, Edward F. Zagajeski, Matthew Fenster
Hearing Site: New York, NY
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| 15-00875 | 10/21/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Eric Zakarin
Respondent Lawyers(s): James Halter
Arbitrator(s): Julian F. Santos, Stanley M. Lenkowicz, Veronica Ann Williams
Hearing Site: Newark, NJ
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| 13-02964 | 08/03/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s): Robert Loftus
Respondent Lawyers(s): James Halter
Arbitrator(s): Joan Caridi, Ann C. Northern, Bernard A. Friedman
Hearing Site: New York, NY
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