| 20-00453 | 02/08/2022 | Claimant(s): William Bridges
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Portfolio Advisors Alliance
Respondent Lawyers(s): Kerri Wasserman
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
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| 21-02004 | 02/08/2022 | Claimant(s): Jared Zuflacht
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
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| 20-01233 | 02/07/2022 | Claimant(s): Joseph Depasquale
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): American Capital Partners
Respondent Lawyers(s): John Gardini
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
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| 20-02822 | 02/07/2022 | Claimant(s): James Rego, Robert Hill
Claimant Lawyers(s): Thomas McCabe
Respondent(s): John Stafford, Ronin Capital
Respondent Lawyers(s): Gary M. Miller
Arbitrator(s): Richard W. Vallario, Joshua Mark Zucker, Melnia Annero Cordis
Hearing Site: New York, NY
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| 20-03866 | 02/07/2022 | Claimant(s): Arun Kumar
Claimant Lawyers(s): Blaine Bortnick
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Catherine Ladnier, Daniel Robbins, Andrew Daniel Levine
Hearing Site: New York, NY
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| 21-02156 | 02/07/2022 | Claimant(s): Michele Misiti
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Alexander Capital, L.P.
Respondent Lawyers(s): Rocco Guidicipietro
Arbitrator(s): Madelon M. Rosenfeld, Mary Julia O'Connell, Adam M. Kauff
Hearing Site: New York, NY
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| 21-02032 | 02/07/2022 | Claimant(s): Aron Greenstein
Claimant Lawyers(s): Christine Lazaro
Respondent(s): Steven Novick
Respondent Lawyers(s): Steven Scott Novick
Arbitrator(s): Phillip Weitzman
Hearing Site: New York, NY
|  | $5,175 |
| 21-01904 | 02/04/2022 | Claimant(s): Robert Funk
Claimant Lawyers(s): James P. Galvin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Abe I. Borenstein, Robert E. Anderson, Alexander B Rubin
Hearing Site: New York, NY
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| 21-01370 | 02/02/2022 | Claimant(s): Nicholas Tsikitas
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
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| 19-02513 | 02/01/2022 | Claimant(s): Ryan Bernardini
Claimant Lawyers(s): Lisa C. Solbakken
Respondent(s): GFI Securities LLC
Respondent Lawyers(s): Nirav S. Shah
Arbitrator(s): Anthony Michael Sabino, Mark Cuccaro, Abigail R. Levy
Hearing Site: New York, NY
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