| 22-01838 | 11/20/2023 | Claimant(s): Harvey Silver, The Estate of Gladys Silver
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): E*Trade Securities LLC, TD Ameritrade.
Respondent Lawyers(s): Frank J. Cuccio, Joseph E. Floren
Arbitrator(s): Elizabeth Gilbert, Edward W. Morris, John Franklin Udochi
Hearing Site: New York, NY
|  | $440 |
| 23-01251 | 11/17/2023 | Claimant(s): Benjamin Marcano
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Wells Fargo Advisors Financial Network, UBS Financial Services Inc.
Respondent Lawyers(s): Deirdre Wolff, John Murphy
Arbitrator(s): Madelon M. Rosenfeld, Alice E. Winkler, Robert Morris
Hearing Site: New York, NY
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| 23-00761 | 11/17/2023 | Claimant(s): Kimberley Hatchett
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): Julian F. Santos, Serge Krimnus, Anthony J Casino
Hearing Site: New York, NY
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| 23-00597 | 11/16/2023 | Claimant(s): Noah Doyle
Claimant Lawyers(s): Harris Freedman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): John Franklin Udochi
Hearing Site: New York, NY
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| 22-00928 | 11/15/2023 | Claimant(s): Alvaro Gonzalez
Claimant Lawyers(s): Blaine Bortnick
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Kimberly C. Lawrence, Phillip Weitzman, Harold Bruce Aspis
Hearing Site: New York, NY
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| 23-01015 | 11/13/2023 | Claimant(s): Stephen Kiront
Claimant Lawyers(s): John Stewart
Respondent(s): Craft Capital Management LLC, Woodstock Financial Group.
Respondent Lawyers(s): Barry Kiront, William J. Raike
Arbitrator(s): David S. Billet
Hearing Site: New York, NY
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| 23-00490 | 11/13/2023 | Claimant(s): Kunal Arora
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Linda R. Alpert, Lynne M. Reid-McQueen, Ellyn S. Roth
Hearing Site: New York, NY
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| 23-01077 | 11/10/2023 | Claimant(s): Joon Rhee
Claimant Lawyers(s): Robert M. Bursky
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Joan Maxine Secofsky, Jill Pilgrim, Jill I. Gross
Hearing Site: New York, NY
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| 23-01059 | 11/09/2023 | Claimant(s): Mark Romaine
Claimant Lawyers(s): Craig A. Riha
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Mark A. Pratzel
Arbitrator(s): Susan Manca
Hearing Site: New York, NY
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| 23-00773 | 11/09/2023 | Claimant(s): Peter Lenane
Claimant Lawyers(s): Christopher P. Milazzo
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Elizabeth R. Aylett
Arbitrator(s): Larry A. Kimmel, Matthew Fenster, Harvey E. Benjamin
Hearing Site: New York, NY
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