| 21-00572 | 08/09/2021 | Claimant(s): Joel Konigsberg
Claimant Lawyers(s): David I. Hantman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
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| 20-02654 | 08/06/2021 | Claimant(s): Margaret Rivera
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
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| 20-03698 | 08/06/2021 | Claimant(s): Tobias Lenza
Claimant Lawyers(s): Anthony A. Lenza
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): David S. Richan
Arbitrator(s): Mary Julia O'Connell, Hashim Ghadiali, John Warner Lowe
Hearing Site: New York, NY
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| 20-02450 | 08/04/2021 | Claimant(s): Mark Kolta
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation, Aegis Capital Corp.
Respondent Lawyers(s): Daniel Scott Furst, Emily A. Hayes
Arbitrator(s): Carolyn A. Mann
Hearing Site: New York, NY
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| 18-04247 | 08/04/2021 | Claimant(s): Aliya Falk, Linda Falk, Mariel Falk
Claimant Lawyers(s): John C. Re
Respondent(s): Gary Zahakos, UBS Financial Services Inc.
Respondent Lawyers(s): Joshua S. Bratspies
Arbitrator(s): Jay Alan Kranis, David John Reilly, Albert Rizzo
Hearing Site: New York, NY
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| 20-03203 | 08/02/2021 | Claimant(s): Ari Spar
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Paul Klein
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
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| 21-00980 | 07/30/2021 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): John B. Clark
Respondent(s): Steven Mitchell
Respondent Lawyers(s): Steven Jay Mitchell
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
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| 20-01701 | 07/27/2021 | Claimant(s): Joon Rhee
Claimant Lawyers(s): Craig Riha
Respondent(s): Continental Broker-Dealer Corp.
Respondent Lawyers(s): Michael Clements
Arbitrator(s): Thomas M. Madden
Hearing Site: New York, NY
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| 20-03191 | 07/22/2021 | Claimant(s): Jason Zahtila
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): American Capital Partners
Respondent Lawyers(s): John Gardini
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
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| 20-03207 | 07/20/2021 | Claimant(s): Scott Fitzgerald
Claimant Lawyers(s): Louis Tambaro
Respondent(s): Royal Alliance Associates., Vanderbilt Securities
Respondent Lawyers(s): Charles M. O'Rourke, James V. Noblett
Arbitrator(s): Eugene G. P. Byrne
Hearing Site: New York, NY
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