| 19-00812 | 11/01/2019 | Claimant(s): Joseph Nunn
Claimant Lawyers(s): Joseph C. Nunn
Respondent(s): The Williams Capital Group, L.P.
Respondent Lawyers(s): Marc L. Silverman
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 18-03595 | 10/30/2019 | Claimant(s): Peter Volino
Claimant Lawyers(s): Edward Hernstadt
Respondent(s): Mirae Asset Securities (USA) Inc.
Respondent Lawyers(s): Dov Kesselman
Arbitrator(s): Elizabeth Gilbert, Angela A. Turiano, Elise I. Strauss
Hearing Site: New York, NY
| | |
| 19-00984 | 10/30/2019 | Claimant(s): G. Diddel
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Christina Z. Vourakis
Arbitrator(s): Susan Romano
Hearing Site: New York, NY
| | |
| 16-02593 | 10/29/2019 | Claimant(s): Alexandre Santos
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Citigroup Global Markets., Citibank, N.A.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Michael J McAllister, Daniel Robbins, Richard Gee
Hearing Site: New York, NY
| | |
| 19-00300 | 10/29/2019 | Claimant(s): James Mariani
Claimant Lawyers(s): Tosh D. Grebenik,
Respondent(s): National Securities Corporation, First Montauk Securities Corp.
Respondent Lawyers(s): Fred N. Knopf, Robert I. Rabinowitz
Arbitrator(s): Arthur M. Handler
Hearing Site: New York, NY
| | |
| 17-02640 | 10/28/2019 | Claimant(s): Atul Paun
Claimant Lawyers(s): Atul Paun
Respondent(s): Jeffrey Miller, Jeffrey Tabak, Miller Tabak + Co., Mitchell Securities.
Respondent Lawyers(s): Jeffrey David Miller, Jeffrey Steven Tabak, Thomas S. Mitchell
Arbitrator(s):
Hearing Site: New York, NY
| | |
| 17-02315 | 10/25/2019 | Claimant(s): James Smyth
Claimant Lawyers(s): Ross B Intelisano
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Nirav S. Shah
Arbitrator(s): William G. Binckes, Ronald Harris Kisner, Leslie Conason
Hearing Site: New York, NY
| | |
| 18-02692 | 10/24/2019 | Claimant(s): Hitesh Mittal
Claimant Lawyers(s): Jacob W. Buchdahl
Respondent(s): ITG Inc.
Respondent Lawyers(s): Andrew Gordon
Arbitrator(s): Judith C. Zerden, Benjamin L. Anderson, Mariane A. Liebowitz
Hearing Site: New York, NY
| | |
| 18-02285 | 10/23/2019 | Claimant(s): John Juergens
Claimant Lawyers(s): Michael A. Zamat
Respondent(s): Mutual Of Omaha Investor Services.
Respondent Lawyers(s): Patrick B. Griffin
Arbitrator(s): Elizabeth Gilbert, Peter E. Gillespie, Michael Andrew Rollin
Hearing Site: New York, NY
| | |
| 18-03521 | 10/22/2019 | Claimant(s): Susan Suarez
Claimant Lawyers(s): James Halter
Respondent(s): UBS Financial Services Inc., Mary Zawacki
Respondent Lawyers(s): John P. Leonard
Arbitrator(s): Philip M. Mandel, Edward F. Zagajeski, Matthew Fenster
Hearing Site: New York, NY
| | |
