| 17-00537 | 09/13/2019 | Claimant(s): Robert LaPolla
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Garland James
Respondent Lawyers(s): Garland Sean James
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
|  | $51,280 |
| 18-02957 | 09/13/2019 | Claimant(s): James Besarkarski
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Demitry Portnoy, Joseph Alagna, Justin Giannillo, Ryan Vernoia, Stephan Stein, Steven Singer, Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John E. Lawlor, Justin Giannillo, Ryan Anthony Vernoia
Arbitrator(s): Steven T. Stern
Hearing Site: New York, NY
| | $0 |
| 18-00565 | 09/12/2019 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): John P. Leonard
Respondent(s): Alexander DiMartini
Respondent Lawyers(s): Dennis Houdek
Arbitrator(s):
Hearing Site: New York, NY
| | |
| 11-00134 | 09/09/2019 | Claimant(s): Constantine Demopoulos, Michael Fontaine
Claimant Lawyers(s): Jeffrey Liddle
Respondent(s): Deutsche Bank Securities., Deutsche Bank AG
Respondent Lawyers(s): Cliff Fonstein
Arbitrator(s): Ted M. Rosen, Mary Ellen Burns, Philip Rachmelowitz
Hearing Site: New York, NY
| | |
| 19-00456 | 09/09/2019 | Claimant(s): Glenn Hechler
Claimant Lawyers(s): Craig Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 17-03465 | 09/06/2019 | Claimant(s): Norma Negrete
Claimant Lawyers(s): Imran H. Ansari
Respondent(s): Giovanni Narvaez, J.P. Morgan Securities, Mikal Haddad
Respondent Lawyers(s): Shipra K. Rege
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | $0 |
| 18-01899 | 08/28/2019 | Claimant(s): James Porz
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Harvey Barrison, Philip J De Bellis, Patricia Kathleen Costello
Hearing Site: New York, NY
| | Dismissed by Rule 12206/12504 |
| 17-01439 | 08/27/2019 | Claimant(s): Robert Ryder
Claimant Lawyers(s): Craig R. Weis
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | |
| 19-01211 | 08/19/2019 | Claimant(s): Bryan Stephens
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
| | |
| 17-02705 | 08/15/2019 | Claimant(s): Gary Sinderbrand, Mill Lane Management
Claimant Lawyers(s): Jarrod J. Malone
Respondent(s): Wells Fargo Clearing Services, Steven Sinderbrand
Respondent Lawyers(s): Eric Wood, Erin M. Smith
Arbitrator(s): David S. Billet, Thomas J. Stock, John Herbert Grefe
Hearing Site: New York, NY
| | |
