| 20-04080 | 12/04/2023 | Claimant(s): Alexander Kuznetsov
Claimant Lawyers(s): Alexander Kuznetsov
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Shelley Teitelbaum, Donald N. Cohen, Eugene G. P. Byrne
Hearing Site: New York, NY
|  | Dismissed by Rule 12212 and 12511 |
| 23-02308 | 12/04/2023 | Claimant(s): Eric Wittenberg
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
| | |
| 23-00396 | 12/01/2023 | Claimant(s): Michael Lastihenos
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Wilmington Capital Securities
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Ted M. Rosen, Richard E. Castiglioni, Tychelle Dephroneicia McLaurin
Hearing Site: New York, NY
| | |
| 22-02303 | 11/30/2023 | Claimant(s): Whelan Advisory Capital Markets, Whelan Advisory
Claimant Lawyers(s): Roger E. Barton
Respondent(s): HomeSource Operations
Respondent Lawyers(s): Brian J. Capitummino
Arbitrator(s): Robert Neal Hunter, David F. Simon, John Gorman
Hearing Site: New York, NY
| | |
| 23-00084 | 11/30/2023 | Claimant(s): Frank Palumbo
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): American Capital Partners, Sanders Morris Harris LLC
Respondent Lawyers(s): John Gardini, Steve Mangold
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | |
| 23-00301 | 11/24/2023 | Claimant(s): Kenneth Bonal
Claimant Lawyers(s): Seth N. Bursky
Respondent(s): Avalon Partners.
Respondent Lawyers(s): Concetto Kevin Barone
Arbitrator(s): Neil G. Gargiulo, Lori H. Carena, Susan Romano
Hearing Site: New York, NY
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| 23-00728 | 11/22/2023 | Claimant(s): Mark Schrader
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Dime Securities.
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Daniel Robbins, Thomas M. Madden, Jonathan Ashley Pomeroy
Hearing Site: New York, NY
| | |
| 23-01497 | 11/21/2023 | Claimant(s): Marc Seeherman
Claimant Lawyers(s): Steven E. Mellen
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Saad Rahmouni
Arbitrator(s): Jeffrey Alan Helewitz, Albert L. Akerman, Steven Gary Leventhal
Hearing Site: New York, NY
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| 23-00383 | 11/21/2023 | Claimant(s): Aram Seferian
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Continental Broker-Dealer Corp.
Respondent Lawyers(s): Thomas Tiernan
Arbitrator(s): Jill Pilgrim, Brian R. Cohen, Amy Jill Baranoff
Hearing Site: New York, NY
| | |
| 23-01417 | 11/21/2023 | Claimant(s): Charles Natt
Claimant Lawyers(s): Adam Kauff
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alexandros Diplas
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
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