| 19-01303 | 09/19/2022 | Claimant(s): Jonathan Harber
Claimant Lawyers(s): Alan Rosca
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Susan Manca, Harvey E. Benjamin, Mitchell H Rubinstein
Hearing Site: New York, NY
|  | Expungement |
| 20-03737 | 09/15/2022 | Claimant(s): Janet Rempuszewski
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Edmund Timothy Donovan
Hearing Site: New York, NY
| | Expungement |
| 19-00859 | 09/13/2022 | Claimant(s): Terence Dolan, Benjamin & Jerold Brokerage I
Claimant Lawyers(s): Warren A. Raiti
Respondent(s): Cowen and Company
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): James M. Rhodes, Mitchell Regenbogen, Robert Lee Bull
Hearing Site: New York, NY
| | |
| 19-01751 | 09/12/2022 | Claimant(s): Simon Andriesz
Claimant Lawyers(s): Neal Brickman
Respondent(s): Jean Aubin, Mark Webster, Michael Sulfaro, Cantor Fitzgerald & Co., Paul Pion, Shawn McLoughlin, William Shields, BGC Financial, L.P.
Respondent Lawyers(s): Nirav S. Shah
Arbitrator(s): Lise Gabrielle Hunter, Jennifer Lupo, Richard M. Gray
Hearing Site: New York, NY
| | |
| 22-00403 | 09/12/2022 | Claimant(s): Monica Cleves
Claimant Lawyers(s): Robert M. Bursky
Respondent(s): VectorGlobal WMG.
Respondent Lawyers(s): Santiago Santos
Arbitrator(s): Brian Hamburger, Karen Isabel Bedrosian - Richardson, Miriam Goode
Hearing Site: New York, NY
| | |
| 20-00033 | 09/09/2022 | Claimant(s): Mark Kolta
Claimant Lawyers(s): Mark S. Kolta
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Daniel Scott Furst
Arbitrator(s): Robert J. Kheel, Joan Caridi, Judith B Weinstock
Hearing Site: New York, NY
| | |
| 22-00105 | 09/07/2022 | Claimant(s): Kenneth Mayer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Eric A. Bensky
Arbitrator(s): Susan Romano
Hearing Site: New York, NY
| | |
| 21-03097 | 09/06/2022 | Claimant(s): Joel Johnson
Claimant Lawyers(s): Steven Feldman
Respondent(s): Silver Oak Securitiesorporated
Respondent Lawyers(s): Doug Baxley
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | |
| 22-00101 | 09/06/2022 | Claimant(s): Joseph Duarte
Claimant Lawyers(s): Robert J. Moses
Respondent(s): First Republic Securities Company
Respondent Lawyers(s): Debra Achkire
Arbitrator(s): Mary Julia O'Connell
Hearing Site: New York, NY
| | |
| 22-00445 | 09/02/2022 | Claimant(s): Christopher Farrell
Claimant Lawyers(s): Brian Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Harrison Johnson
Hearing Site: New York, NY
| | |
