| 22-02132 | 10/26/2023 | Claimant(s): Melvin Holson
Claimant Lawyers(s): Marc S. Gottlieb
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Roger Fox
Respondent Lawyers(s): Kathryn B. Rockwood
Arbitrator(s): Judith C. Zerden, John J. Mager, Paul Smith Besson
Hearing Site: New York, NY
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| 21-01135 | 10/25/2023 | Claimant(s): Yehuda Lasry
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Serge Krimnus, Andrew Daniel Levine, Cynthia Kouril
Hearing Site: New York, NY
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| 23-00406 | 10/19/2023 | Claimant(s): Christopher Ortiz
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Leona Beane, Gerald M. Levine, Matthew Anthony Tenteromano
Hearing Site: New York, NY
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| 23-02218 | 10/13/2023 | Claimant(s): Jeffrey Klotz
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
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| 23-00220 | 10/10/2023 | Claimant(s): David Hua
Claimant Lawyers(s): Seth N. Bursky
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Jill Pilgrim, Leslie Conason, Lorraine Diane Mandel
Hearing Site: New York, NY
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| 23-00389 | 10/06/2023 | Claimant(s): Scott Rose
Claimant Lawyers(s): William Bean
Respondent(s): Citigroup Global Markets., J.P. Morgan Securities
Respondent Lawyers(s): Adam Kauff, Thomas J. Cahill
Arbitrator(s): Jeffrey Alan Helewitz
Hearing Site: New York, NY
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| 22-02697 | 10/06/2023 | Claimant(s): Edward Deicke
Claimant Lawyers(s): Kurt Kalberer
Respondent(s): National Securities Corporation, Prudential Equity Group
Respondent Lawyers(s): Emily A. Hayes, Jennifer E. Novoselsky
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
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| 23-00222 | 10/05/2023 | Claimant(s): Eric Rapczyk
Claimant Lawyers(s): Seth N. Bursky
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily Hayes
Arbitrator(s): Matthew Fernandez Konigsberg, A. Rene Hollyer, Andrew Brindle
Hearing Site: New York, NY
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| 23-02022 | 10/03/2023 | Claimant(s): Charles Teixeira
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
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| 23-00221 | 09/28/2023 | Claimant(s): Eric Rapczyk
Claimant Lawyers(s): Craig Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Joan Maxine Secofsky, Brian Ken Kawakami, Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
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