| 19-01681 | 10/18/2019 | Claimant(s): Benjamin Sax
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Robert J. Kheel
Hearing Site: New York, NY
| | |
| 18-03033 | 10/18/2019 | Claimant(s): Paul Leyder
Claimant Lawyers(s): Darryl Bouganim
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Martin P. Unger
Arbitrator(s): Richard W. Vallario, Fred S. Pieroni, Francis Carling
Hearing Site: New York, NY
|  | $270,329 |
| 19-00996 | 10/17/2019 | Claimant(s): Paul Mante
Claimant Lawyers(s): Alex R. Schmidt
Respondent(s): The GMS Group
Respondent Lawyers(s): Timothy J. Donohue
Arbitrator(s): Joseph H. Cerame
Hearing Site: New York, NY
| | |
| 18-04355 | 10/16/2019 | Claimant(s): Sean Case
Claimant Lawyers(s): Sean Michael Case
Respondent(s): Itradedirect.com Corp
Respondent Lawyers(s): Eric David Arlt
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | |
| 19-00600 | 10/16/2019 | Claimant(s): Michael Olivia
Claimant Lawyers(s): John Stewart
Respondent(s): Park Avenue Securities LLC
Respondent Lawyers(s): Donna Krouzman
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | |
| 18-03253 | 10/15/2019 | Claimant(s): David Beach
Claimant Lawyers(s): David Martin Beach
Respondent(s): Stewart Lampert, Lampert Capital Markets Inc.
Respondent Lawyers(s): Stewart Randy Lampert
Arbitrator(s): Julian F. Santos, Sandra J. Mullings, Kathleen Cawley
Hearing Site: New York, NY
| | |
| 19-00006 | 10/11/2019 | Claimant(s): Khaled Nasseri
Claimant Lawyers(s): Khaled H. Nasseri
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Arthur Neil Tolciss
Hearing Site: New York, NY
| | |
| 19-00660 | 10/11/2019 | Claimant(s): Bryan Cummings
Claimant Lawyers(s): Irwin Weltz
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Christine M. Fitzgerald
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
| | |
| 19-00678 | 10/11/2019 | Claimant(s): Michael Gimeli
Claimant Lawyers(s): Irwin Weltz
Respondent(s): GunnAllen Financial, First Cambridge Securities Corporation, First Midwest Securities., Investec Ernst & Company
Respondent Lawyers(s): Deborah Ann Williams, Kelly Sutton, Stanley R. Goldstein, Stephen M. Medow
Arbitrator(s): Cheryl H. Agris
Hearing Site: New York, NY
| | |
| 19-01017 | 10/11/2019 | Claimant(s): Steven Keats
Claimant Lawyers(s): Steven L. Keats
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
| | $0 |
