| 23-01863 | 09/24/2024 | Claimant(s): Johanna Trujillo
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Douglas F. Stone, Daniel Robbins, Steven Landis
Hearing Site: New York, NY
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| 20-03866 | 02/07/2022 | Claimant(s): Arun Kumar
Claimant Lawyers(s): Blaine Bortnick
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Catherine Ladnier, Daniel Robbins, Andrew Daniel Levine
Hearing Site: New York, NY
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| 16-03433 | 12/18/2018 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Jill L. Rosenberg
Respondent(s): James Webb
Respondent Lawyers(s): James Daniel Webb
Arbitrator(s): William E. Schneider, Michael S. Davidoff, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
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| 11-01910 | 12/05/2012 | Claimant(s): Dana Levenson
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Peter Ordower, Ann Breen-Greco, Brian E. Slotky
Hearing Site: Chicago, IL
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| 10-02871 | 07/06/2011 | Claimant(s): Greg Kipple
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): Wachovia Securities, Wells Fargo Advisors
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Alan J. Blocher, Ronald P. Wertheim, Jason Thomas Laird
Hearing Site: Philadelphia, PA
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| 09-00770 | 06/15/2010 | Claimant(s): Alvin Shrago
Claimant Lawyers(s): James A. Batson
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Peter A. Goldman, William C. Soo-Hoo, Anita Sippy
Hearing Site: New York, NY
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| 08-04607 | 05/28/2010 | Claimant(s): Peter Kuper
Claimant Lawyers(s): Patricia A. Washienko
Respondent(s): Morgan Stanley & Co., Stephen Penwell
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Nelson P. Lovins, Stephen Z. Frank, Lee McHarg Holland
Hearing Site: Boston, MA
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| 07-01434 | 04/29/2008 | Claimant(s): Mark Hootnick
Claimant Lawyers(s): Edward J.M. Little
Respondent(s): Greenhill & Co.
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Douglas F. Stone, Edward Peter Ryan, Lawrence F. Carnevale
Hearing Site: New York, NY
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