| 23-02339 | 05/03/2024 | Claimant(s): Steven Mogul
Claimant Lawyers(s): Craig A. Riha
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
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| 23-01022 | 04/03/2024 | Claimant(s): Samuel Wyman
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Advest.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Josian Antoine, Beth Ann Haddock, Edmund Timothy Donovan
Hearing Site: New York, NY
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| 23-01176 | 03/22/2024 | Claimant(s): Matthew Larson
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Anna M. Fanelli
Hearing Site: New York, NY
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| 23-00725 | 03/04/2024 | Claimant(s): Daniel Soe
Claimant Lawyers(s): Craig A. Riha
Respondent(s): First Republic Group
Respondent Lawyers(s): Edward Sampson
Arbitrator(s): Richard W. Vallario, Benjamin Steinberg, Glenn Ravenell
Hearing Site: New York, NY
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| 23-00909 | 02/27/2024 | Claimant(s): Dennis Karjanis
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Sean Alan D'Amico, Jud Perkins, David Stein
Hearing Site: Hartford, CT
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| 23-01072 | 02/21/2024 | Claimant(s): Keith Medeck
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Millennium Securities Corp.
Respondent Lawyers(s): Consuelo Moretto
Arbitrator(s): Jay F. Frascella, Gerald M. Levine, Melinda George-Bristol
Hearing Site: New York, NY
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| 23-00900 | 02/08/2024 | Claimant(s): Mark Schrader
Claimant Lawyers(s): Craig A. Riha
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
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| 23-00665 | 02/02/2024 | Claimant(s): Aramis Seferian
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Continental Broker-Dealer Corp.
Respondent Lawyers(s): Michael Clements
Arbitrator(s): Judith E. Gross, Morton S. Bunis, Steven Gary Leventhal
Hearing Site: New York, NY
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| 23-00710 | 02/02/2024 | Claimant(s): Mark Schrader
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): Rosemary Francavilla
Arbitrator(s): Denise L. Quarles, Eila Matt, Peter E. Gillespie
Hearing Site: New York, NY
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| 23-00708 | 01/29/2024 | Claimant(s): John Burnham
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Leona Beane, David John Reilly, Lauren Mintzer
Hearing Site: New York, NY
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