| 15-00875 | 10/21/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Eric Zakarin
Respondent Lawyers(s): James Halter
Arbitrator(s): Julian F. Santos, Stanley M. Lenkowicz, Veronica Ann Williams
Hearing Site: Newark, NJ
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| 15-00535 | 04/19/2016 | Claimant(s): Mary Fisher
Claimant Lawyers(s): James R. Hubbard
Respondent(s): SG Americas Securities
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Julian F. Santos, David Jeremy Mattana, Cirino M. Bruno
Hearing Site: New York, NY
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| 12-02596 | 05/20/2015 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Antonietta Acanfora, Arthur Tambaro, Bruce Levitus, Craig Vollono, Erica Mcginnis, Gregory Curley, Hal Gilbert, James Bodovitz, Jerome Murphy, Royal Alliance Associates., Joseph Neary, Justin Sacca, Kevin Danaher, Noah Sorkin, Ralph Roth, Randall Epright, Stacey Savitsky
Respondent Lawyers(s): Jonathan Thau
Arbitrator(s): Julian F. Santos, Alan Funk, Edward James O'Dowd
Hearing Site: Newark, NJ
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| 13-03703 | 02/04/2015 | Claimant(s): Adeola Palmer
Claimant Lawyers(s): Brittany Weiner
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Leni D. Battaglia
Arbitrator(s): Julian F. Santos, Irwin Pronin, David J. Weisenfeld
Hearing Site: New York, NY
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| 12-00206 | 10/17/2014 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Joseph Vaccaro, Fusion Analytics Securities LLC
Respondent Lawyers(s): David Richan, Joseph Marc Vaccaro
Arbitrator(s): Julian F. Santos, Caryl D. Feldmann, Peter C. Salerno
Hearing Site: New York, NY
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| 13-03073 | 08/14/2014 | Claimant(s): Juan Colon-Collazo
Claimant Lawyers(s): Juan Rafael Colon-Collazo
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William Hohauser
Arbitrator(s): Julian F. Santos, Linda G. March, John Herbert Grefe
Hearing Site: New York, NY
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| 10-00154 | 05/14/2014 | Claimant(s): Richard Coale, Robert Hannam, Ronald White
Claimant Lawyers(s): Daniel Marino
Respondent(s): Christopher Dumont, Banc of America Investment Services Inc.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Thomas Caiaffa, Julian F. Santos, Kenneth J. Horowitz
Hearing Site: Newark, NJ
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| 13-00632 | 09/25/2013 | Claimant(s): Paul Coviello, Sasha Coviello
Claimant Lawyers(s): James K. Barbee
Respondent(s): Brian Cali, Brian Walsh, Charles Rogalla, David Dickstein, Gary Decker, Harold Davis, Jodi Rogalla, Robert Pettinato, Rosemary Walsh
Respondent Lawyers(s): Jeffrey R. Sonn
Arbitrator(s): Julian F. Santos
Hearing Site: Newark, NJ
| | Expungement |
| 13-00864 | 07/25/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Alan S Brodherson
Respondent(s): Philip Winters
Respondent Lawyers(s): Philip William Winters
Arbitrator(s): Julian F. Santos
Hearing Site: New York, NY
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| 11-00117 | 12/26/2012 | Claimant(s): Charles Drummond
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Blaylock Robert Van
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Fred S. Pieroni, Julian F. Santos, David Jeremy Mattana
Hearing Site: New York, NY
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