| 21-02170 | 04/19/2023 | Claimant(s): Arnie Di Cioccio, Kevin Griffin, Yousef Abuhakmeh
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Thomas M. Amadio, Eric Goldman, Edmund Timothy Donovan
Hearing Site: New York, NY
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| 21-00109 | 02/22/2023 | Claimant(s): David Watkins
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Christopher Amo, UBS Financial Services Inc.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Carole R. Bernstein, Daniel Robbins, Charlane Brown
Hearing Site: New York, NY
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| 21-01981 | 12/23/2022 | Claimant(s): Robert Minikes
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Mizuho Securities USA LLC
Respondent Lawyers(s): Edward M. Yennock
Arbitrator(s): Dora M. Lassinger, Donald N. Cohen, Ernesto V. Luzzatto
Hearing Site: New York, NY
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| 17-01204 | 11/23/2021 | Claimant(s): Jordan Cahn
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): David A. Paul
Arbitrator(s): Peter A. Goldman, Mary P. Bass, Jason Scott Eveleth
Hearing Site: New York, NY
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| 17-02587 | 09/02/2021 | Claimant(s): Richard Roe
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Joanne M.F. Wilcomes
Arbitrator(s): Thomas M. Madden, Lorrie E Whitfield, Louis Arnold Russo
Hearing Site: New York, NY
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| 18-01541 | 01/16/2020 | Claimant(s): Keith Price
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph C. O'Keefe
Arbitrator(s): R. Peyton Gibson, Wallace Anthony Showman, Charles Francis Barr
Hearing Site: New York, NY
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| 18-02815 | 01/03/2020 | Claimant(s): Brian Mckenna
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): OTR Global Trading LLC
Respondent Lawyers(s): Daniel D. Barnes
Arbitrator(s): Peter A. Seibel, Brian John Gallagher, Jerome Francis Cangialosi
Hearing Site: New York, NY
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| 17-00227 | 03/04/2019 | Claimant(s): Jean Innucci
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): David Wirtz
Arbitrator(s): Doris Lindbergh, Ronald Harris Kisner, Lorrie E Whitfield
Hearing Site: New York, NY
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| 16-00654 | 01/18/2018 | Claimant(s): James Knoeller
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Mizuho Securities Usa Inc.
Respondent Lawyers(s): Philip A. Goldstein
Arbitrator(s): Keely D. Parr, Arthur M. Handler, Blossom Nicinski
Hearing Site: New York, NY
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| 14-01267 | 12/15/2017 | Claimant(s): Mark Aigner
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Miriam G. Bahcall
Arbitrator(s): Doris H. Geck, Marilee Roberg, Frank A. Dusek
Hearing Site: Chicago, IL
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