| 23-00696 | 05/24/2024 | Claimant(s): Mark Schrader
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Madelon M. Rosenfeld, Glen R. Stifelman, Eugene G. P. Byrne
Hearing Site: New York, NY
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| 23-02543 | 05/21/2024 | Claimant(s): Jay Sheth
Claimant Lawyers(s): Craig Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Madelon M. Rosenfeld, John Nino Brenkovich, Frances Gottfried
Hearing Site: New York, NY
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| 23-02963 | 05/03/2024 | Claimant(s): Nicholas Fusco
Claimant Lawyers(s): Jhansi Fusco
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Allen Holeman
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
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| 23-02729 | 03/26/2024 | Claimant(s): Charles Suarez-Murias
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Auriga USA
Respondent Lawyers(s): Alex Hendrickson
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
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| 23-01251 | 11/17/2023 | Claimant(s): Benjamin Marcano
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Wells Fargo Advisors Financial Network, UBS Financial Services Inc.
Respondent Lawyers(s): Deirdre Wolff, John Murphy
Arbitrator(s): Madelon M. Rosenfeld, Alice E. Winkler, Robert Morris
Hearing Site: New York, NY
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| 22-02418 | 06/16/2023 | Claimant(s): Christopher Tong
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
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| 23-00568 | 05/19/2023 | Claimant(s): Nancy Matta
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
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| 22-01630 | 01/20/2023 | Claimant(s): Adam Epstein
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc., Sanford C. Bernstein & Co.
Respondent Lawyers(s): Eric A. Bensky, Omar Perez
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
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| 20-00113 | 05/02/2022 | Claimant(s): James Boland
Claimant Lawyers(s): John D. Singer
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Gabrielle Levin
Arbitrator(s): Madelon M. Rosenfeld, David Gary Jacobs, Dalia Zaza
Hearing Site: New York, NY
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| 19-01625 | 02/25/2022 | Claimant(s): William P. Cella and Elaine F. Cella
Claimant Lawyers(s): Charles J. Hecht
Respondent(s): First Republic Investment Management Inc, First Republic Securities Company
Respondent Lawyers(s): Nicole Ryan
Arbitrator(s): Joan Maxine Secofsky, Judith C. Zerden, Madelon M. Rosenfeld
Hearing Site: New York, NY
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