| 18-03808 | 07/05/2022 | Claimant(s): Francis Howard
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Danilo Fuentes, Jason Knapp, Dawson James Securities.
Respondent Lawyers(s): Gregg J. Breitbart, Jason T. Knapp
Arbitrator(s): Mary Jo Marchisello, Richard E. Castiglioni, Christine Meiers Schatz
Hearing Site: New York, NY
|  | $99,000 |
| 21-02840 | 07/01/2022 | Claimant(s): Stephen Barry
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Annamaria Boccia Smith, David Stein, Peter Whittingham
Hearing Site: New York, NY
| | |
| 20-02320 | 06/30/2022 | Claimant(s): Michael Riemerschmid
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Robert H. Bernstein
Arbitrator(s): Nancy Kramer, Ronald Harris Kisner, Phillip Weitzman
Hearing Site: New York, NY
| | |
| 18-03174 | 06/29/2022 | Claimant(s): Daniel Michalow
Claimant Lawyers(s): Dustin Pusch
Respondent(s): Edward Fishman, Eric Wepsic, Julius Gaudio, Maximilian Stone, D.E. Shaw & Co., L.P.
Respondent Lawyers(s): Terri L. Chase
Arbitrator(s): Richard Lee Mansdoerfer, Jonathan Blank
Hearing Site: New York, NY
| | |
| 21-02176 | 06/28/2022 | Claimant(s): Eesa Ahmad
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): William E. Nuckel
Hearing Site: New York, NY
| | |
| 21-00912 | 06/24/2022 | Claimant(s): Erin Daly
Claimant Lawyers(s): Michelle Daly
Respondent(s): Citigroup Global Markets., Citibank, N.A., Citigroup Inc.
Respondent Lawyers(s): Lisa Lupion
Arbitrator(s): Alexander Wayman Hunter, Roger Pierro, Helen Scott Ching
Hearing Site: New York, NY
| | |
| 21-01577 | 06/23/2022 | Claimant(s): Marko Gnann
Claimant Lawyers(s): Robert Volynsky
Respondent(s): Donovan Mannato, Morgan Stanley, Wells Fargo Clearing Services
Respondent Lawyers(s): Abigail Elrod, Andrew W. Sidman, Kevin D. Galbraith
Arbitrator(s): Sandra J. Mullings, Marion F. Posner, Vaughn Norman Browne
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 21-02941 | 06/22/2022 | Claimant(s): Russell Smith
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Elevation
Respondent Lawyers(s): James Garvey
Arbitrator(s): Cynthia A. DiMarco, Martin Deignan Dehler, Rae Tina Eskreis-Nelson
Hearing Site: New York, NY
| | |
| 21-01389 | 06/17/2022 | Claimant(s): Nicholas Agnone
Claimant Lawyers(s): Louis Tambaro
Respondent(s): Royal Alliance Associates., Investors Capital Corp.
Respondent Lawyers(s): David Feldstein, James V. Noblett
Arbitrator(s): Sam Antar, Paul M. Friedman, Evan Powell
Hearing Site: New York, NY
| | |
| 20-04116 | 06/15/2022 | Claimant(s): NatAlliance Securities
Claimant Lawyers(s): Jeffrey Plotkin
Respondent(s): Mihir Patel
Respondent Lawyers(s): Gary Trachten
Arbitrator(s): Kenneth Diamond, Eva H. Posman, Kimberly C. Lawrence
Hearing Site: New York, NY
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