22-01474 | 03/06/2023 | Claimant(s): Paul Lamontanaro Claimant Lawyers(s): Robert J. Hantman Respondent(s): Joseph Stone Capital L.L.C. Respondent Lawyers(s): James Vincent Pardy Arbitrator(s): Thomas Caiaffa, Aaron Peron Ogletree, John Warner Lowe Hearing Site: New York, NY
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19-01247 | 12/22/2021 | Claimant(s): Steven Mastrovich Claimant Lawyers(s): Jonathan Sack Respondent(s): UBS Securities LLC Respondent Lawyers(s): Carl W. Mills Arbitrator(s): Thomas Caiaffa, Adam B. Lass, Lorrie E Whitfield Hearing Site: New York, NY
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15-03455 | 01/20/2017 | Claimant(s): Joseph La Ferla Claimant Lawyers(s): Sharron E. Ash Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David I Hantman Arbitrator(s): Thomas Caiaffa, Madelon M. Rosenfeld, Selma Moy Hearing Site: New York, NY
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13-00287 | 07/09/2015 | Claimant(s): Guy Gregoire Claimant Lawyers(s): David A. Gehn Respondent(s): Pershing LLC, BNY Mellon Capital Markets Respondent Lawyers(s): Lloyd S. Clareman Arbitrator(s): Thomas Caiaffa, Martin A. Edelstein, Keely D. Parr Hearing Site: New York, NY
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10-00154 | 05/14/2014 | Claimant(s): Richard Coale, Robert Hannam, Ronald White Claimant Lawyers(s): Daniel Marino Respondent(s): Christopher Dumont, Banc of America Investment Services Inc. Respondent Lawyers(s): Ronald P. Kane Arbitrator(s): Thomas Caiaffa, Julian F. Santos, Kenneth J. Horowitz Hearing Site: Newark, NJ
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11-03630 | 11/15/2012 | Claimant(s): Philippe Allain Claimant Lawyers(s): Rishi Bhandari Respondent(s): Marcus Bolton, Tullett Prebon Financial Services LLC Respondent Lawyers(s): Lisa Lewis Arbitrator(s): Thomas Caiaffa, Edith M. Novack, Margaret Leggett Tarver Hearing Site: Newark, NJ
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03-09101 | 11/22/2010 | Claimant(s): Redwood Partners, Spectra Financial Group Claimant Lawyers(s): James M Wines Respondent(s): CIBC World Markets Corp., CSS Respondent Lawyers(s): Jennifer Zordani, Lloyd S. Clareman Arbitrator(s): Judith R. MacDonald, Thomas Caiaffa, Earl S. Schwarz Hearing Site: New York, NY
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08-01950 | 07/23/2010 | Claimant(s): Michael Caradimitropoulo Claimant Lawyers(s): Nicholas J Guiliano Respondent(s): Anthony Tricarico, The Concord Equity Group Respondent Lawyers(s): David E. Robbins, Robert I. Rabinowitz Arbitrator(s): Thomas Caiaffa, Julian F. Santos, Micalyn S. Harris Hearing Site: New York, NY
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09-00618 | 11/04/2009 | Claimant(s): Joseph Mattia Claimant Lawyers(s): Adam D. Mitzner Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Patricia A. Tsipras Arbitrator(s): Thomas Caiaffa, Kenneth Diamond, Abigail J. Pessen Hearing Site: New York, NY
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08-00523 | 08/13/2009 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Ronald P. Kane Respondent(s): Robert Martin Respondent Lawyers(s): Robert Martin Arbitrator(s): Thomas Caiaffa, Jeffrey Steinberg, John W. Thomas Hearing Site: Newark, NJ
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