| 19-03089 | 07/21/2020 | Claimant(s): Ustocktrade Securities.
Claimant Lawyers(s): Francesco Matteini
Respondent(s): Mayur Baviskar
Respondent Lawyers(s): Mayur Baviskar
Arbitrator(s): Denise L. Quarles
Hearing Site: Newark, NJ
|  | $0 |
| 19-03287 | 07/21/2020 | Claimant(s): Michael Greenstone
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa Gworek
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 20-00016 | 07/15/2020 | Claimant(s): Matthew Fleissner
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
| | |
| 19-03285 | 07/09/2020 | Claimant(s): Michael Greenstone
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa Gworek
Arbitrator(s): Michael H DuBoff
Hearing Site: Newark, NJ
| | |
| 18-03755 | 07/01/2020 | Claimant(s): Stanley Kulesza
Claimant Lawyers(s): Richard D. DeVita
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon Schopf
Arbitrator(s): Sam Antar, Scott M. Pellegrino, James M. Rhodes
Hearing Site: Newark, NJ
| | $0 |
| 19-02063 | 06/29/2020 | Claimant(s): Peter Neuberg
Claimant Lawyers(s): Sharron E. Ash
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Bryan David Glass, Jay Alan Kranis, Ron Greenfield
Hearing Site: Newark, NJ
| | |
| 20-00338 | 06/25/2020 | Claimant(s): William DeFeo
Claimant Lawyers(s): William Defeo
Respondent(s): TD Ameritrade Clearing., TD Ameritrade., TD Ameritrade Investment Management LLC
Respondent Lawyers(s): Ilana Herscovitz Reid
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | $125 |
| 19-02195 | 06/23/2020 | Claimant(s): Ralph Marra
Claimant Lawyers(s): Nancy L Hendrickson
Respondent(s): Morgan Stanley, UBS Financial Services Inc.
Respondent Lawyers(s): Andrew Gelfand, Melissa Gworek
Arbitrator(s): Michael H DuBoff
Hearing Site: Newark, NJ
| | |
| 19-02315 | 06/12/2020 | Claimant(s): Stephen O'Donnell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Adam Kauff, Sarah K. Yates
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 19-03452 | 06/09/2020 | Claimant(s): David Manning
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Institutional Securities, L.L.C.
Respondent Lawyers(s): James K. Langdon
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
| | |
