| 23-00781 | 12/26/2023 | Claimant(s): Mikal Haddad
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas E. Stagg
Arbitrator(s): Richard W. Cutler, Jill Pilgrim, Tangela Griffin
Hearing Site: New York, NY
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| 23-00538 | 12/20/2023 | Claimant(s): Ghazaleh Ebrahimi
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Paul Klein
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
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| 23-01326 | 12/20/2023 | Claimant(s): Gareth Evans
Claimant Lawyers(s): William Bean
Respondent(s): Dominick & Dickerman LLC, Sands Brothers & Co., Ltd.
Respondent Lawyers(s): Gail Fanelli, Robert M. Hladek
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
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| 23-00084 | 11/30/2023 | Claimant(s): Frank Palumbo
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): American Capital Partners, Sanders Morris Harris LLC
Respondent Lawyers(s): John Gardini, Steve Mangold
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
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| 23-00210 | 08/21/2023 | Claimant(s): Jon Newman
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Cutler, Jay Alan Kranis, Lynda Kommel-Browne
Hearing Site: New York, NY
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| 21-01661 | 10/13/2022 | Claimant(s): Joseph Pietrykowski
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Richard W. Cutler, Linda Ashley, Jerome Francis Cangialosi
Hearing Site: New York, NY
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| 22-00171 | 10/06/2022 | Claimant(s): Stuart Updegrove
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation, Eastbrook Capital Group LLC
Respondent Lawyers(s): Edward Sampson, Emily A. Hayes
Arbitrator(s): Richard W. Cutler, John Franklin Udochi, Adam J. Ciffone
Hearing Site: New York, NY
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| 21-01662 | 05/04/2022 | Claimant(s): Steven Kanowitz
Claimant Lawyers(s): Christine Lazaro
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
|  | $1,731 |
| 20-03189 | 02/22/2022 | Claimant(s): Vincent Fiorentino
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
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| 21-00363 | 10/04/2021 | Claimant(s): Mihir Patel
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Preston Martin
Arbitrator(s): Richard W. Cutler, Robert E. Anderson, Jonathan Ashley Pomeroy
Hearing Site: New York, NY
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