| 20-03879 | 07/20/2021 | Claimant(s): Ana Pazmino
Claimant Lawyers(s): Darryl J. Bouganim
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Paul K. Barenholtz, Annamaria Boccia Smith, Edward W. Morris
Hearing Site: New York, NY
| | |
| 20-02376 | 07/19/2021 | Claimant(s): Debra Bushman
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Eric Goldman
Hearing Site: New York, NY
| | |
| 15-02780 | 07/16/2021 | Claimant(s): Rice Financial Products Company
Claimant Lawyers(s): Lisa-Sheri Torrence
Respondent(s): Devin Wicker, Bonwick Capital Partners
Respondent Lawyers(s): Marc Jonas Block
Arbitrator(s): Aubrey Lees, Susan Manca, Rebecca Ann Berlow
Hearing Site: New York, NY
| | |
| 20-01385 | 07/16/2021 | Claimant(s): James Meeker, Dorothy Lorentzen Trust, James Meeker Discretionary Trust
Claimant Lawyers(s): Judd R. Spray
Respondent(s): Jeffrey Sullivan, Steven Ayer, HighTower Advisors, Hightower Securities
Respondent Lawyers(s): Meghan E. Flinn
Arbitrator(s): Sandra D. Parker, Paul Bennett Marrow, Brian John Gallagher
Hearing Site: New York, NY
|  | $425 |
| 20-02539 | 07/15/2021 | Claimant(s): Jeffrey Glazer
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Oppenheimer & Co.., Capital Growth Financial, Laidlaw & Company (Uk) Ltd.
Respondent Lawyers(s): Charles Smulevitz, Michael S. Jacobs, Nicola Anne Murphy
Arbitrator(s): Anna Lascar
Hearing Site: New York, NY
| | |
| 20-03220 | 07/15/2021 | Claimant(s): Dennis Herrera
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Aegis Capital Corp., Hunter Scott Financial LLC., John Thomas Financial
Respondent Lawyers(s): Corporate Office, Kevin Meade, Peter Gouzos
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
| | |
| 20-00008 | 07/14/2021 | Claimant(s): Howard Alexander
Claimant Lawyers(s): Keith Markel
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): James D. Yellen, Albert Rizzo, Piotr Seweryn Wojtowicz
Hearing Site: New York, NY
| | |
| 20-02604 | 07/14/2021 | Claimant(s): Joseph Medina
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Cetera Advisors
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | |
| 18-04216 | 07/09/2021 | Claimant(s): Andrew Safran
Claimant Lawyers(s): Jonathan S. Sack
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Paul R. Walsh, Richard A. Cini, Mitchell Regenbogen
Hearing Site: New York, NY
| | |
| 21-00179 | 07/01/2021 | Claimant(s): Aliaksandr Ginzburg
Claimant Lawyers(s): Aliaksandr Ginzburg
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
| | $0 |
