| 20-03224 | 10/28/2021 | Claimant(s): Erik Drewes
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Kensington Wells Incorporated, American Capital Partners, South Richmond Securities.
Respondent Lawyers(s): Adam Levy, Bruce Jude Guarino, John Gardini
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
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| 21-01993 | 10/06/2021 | Claimant(s): Kathleen Entwistle
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
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| 21-00033 | 08/19/2021 | Claimant(s): Neer Hodorov
Claimant Lawyers(s): Harry Sherman
Respondent(s): Leumi Investment Services.
Respondent Lawyers(s): Christopher J. Gawley
Arbitrator(s): Michael H DuBoff, Andrew Robert Kosloff, Edmund Timothy Donovan
Hearing Site: New York, NY
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| 21-01341 | 07/22/2021 | Claimant(s): John Morris
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Michael H DuBoff
Hearing Site: Jersey City, NJ
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| 20-04181 | 06/02/2021 | Claimant(s): William Williamson
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC, Santander Securities LLC
Respondent Lawyers(s): Daniel LaPenta, Sara B. Davis
Arbitrator(s): Michael H DuBoff
Hearing Site: Jersey City, NJ
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| 20-02008 | 05/24/2021 | Claimant(s): Michael Zoitas
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
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| 20-02540 | 04/23/2021 | Claimant(s): Matthew Gaglio
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): Park Avenue Securities LLC
Respondent Lawyers(s): Sherry Shore
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
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| 17-03115 | 03/22/2021 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Joseph Modero
Respondent Lawyers(s): Jenice L. Malecki
Arbitrator(s): Michael H DuBoff, Eric Moss Stein, Judith B Weinstock
Hearing Site: Jersey City, NJ
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| 19-03818 | 02/03/2021 | Claimant(s): Daniel Katz
Claimant Lawyers(s): David I. Hantman
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Nicola A. Murphy
Arbitrator(s): Michael H DuBoff, Robert E. Anderson, Richard Morse
Hearing Site: Jersey City, NJ
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| 20-00233 | 10/08/2020 | Claimant(s): Xiaofeng Hu
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
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