| 19-03020 | 05/26/2020 | Claimant(s): Adam Figueroa
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
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| 19-03182 | 04/30/2020 | Claimant(s): Arthur Springer
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
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| 19-03112 | 04/09/2020 | Claimant(s): Bryan Hwang
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
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| 19-00901 | 11/27/2019 | Claimant(s): Matthew Leone
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
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| 19-00353 | 11/13/2019 | Claimant(s): Peter Klein
Claimant Lawyers(s): David J. Butler
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Richard W. Cutler, Howard D. Jacob, Emily M. Altman
Hearing Site: New York, NY
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| 17-00947 | 02/19/2019 | Claimant(s): Amanjot Singh
Claimant Lawyers(s): Kevin T Duffy
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Peter Shadzik
Arbitrator(s): Richard W. Cutler, Howard W. Hirschhorn, Charles Francis Barr
Hearing Site: New York, NY
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| 18-00766 | 01/28/2019 | Claimant(s): Vincent Camarda
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
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| 17-02952 | 01/09/2019 | Claimant(s): Ron Ben-Zakai, Refua Shlema
Claimant Lawyers(s): Samuel J. Lieberman
Respondent(s): Philip Rabinovich, Dinosaur Financial Group
Respondent Lawyers(s): M. William Munno
Arbitrator(s): Richard W. Cutler, Pamela H. Roderick, James G Paulsen
Hearing Site: New York, NY
|  | Expungement |
| 18-01228 | 11/02/2018 | Claimant(s): Mark Kolta
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Chase Investment Services Corp., Cetera Advisors LLC
Respondent Lawyers(s): Christina Vourakis, Thomas J. Cahill
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
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| 17-01429 | 06/07/2018 | Claimant(s): Vincent Molinari
Claimant Lawyers(s): Alan Wolper
Respondent(s): Ouisa Capital LLC
Respondent Lawyers(s): Vince Molinari
Arbitrator(s): Richard W. Cutler, Ellen Slipp, Annamaria Boccia Smith
Hearing Site: New York, NY
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