| 16-00727 | 08/17/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Ronald Cole
Respondent Lawyers(s): Ronald Scott Cole
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
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| 15-01053 | 06/14/2016 | Claimant(s): J.P. Morgan Securities, JPMorgan Chase Bank, N.A.
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Jason Meyer, Morgan Stanley, Lori Rabinowitz, Mead Briggs, Michael Pudlak, Michael Reynolds, Steven Christensen
Respondent Lawyers(s): Jonathan C. Thau, Thomas J. Momjian
Arbitrator(s): Kenneth J. Horowitz, Leo J. Karwejna, Sirena Terr
Hearing Site: Newark, NJ
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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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| 12-01822 | 03/19/2014 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Harry D. Frisch
Respondent(s): Kevin Saia
Respondent Lawyers(s): Kevin Saia
Arbitrator(s): Kenneth J. Horowitz, Gerald Joseph Coughlin, Jonathan Christian Byron
Hearing Site: Newark, NJ
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| 13-00376 | 06/28/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): John Donovan
Respondent Lawyers(s): John P. Donovan
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
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| 12-03998 | 05/23/2013 | Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Eric J. Dec
Respondent(s): Nicholas D'amico
Respondent Lawyers(s): Nicholas D'Amico
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
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| 12-02535 | 02/06/2013 | Claimant(s): Morgan Stanley, Morgan Stanely Smith Barney FA Notes Hol
Claimant Lawyers(s): David Lee
Respondent(s): Donald Rasweiler
Respondent Lawyers(s): Douglas Stone
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
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| 12-00861 | 01/22/2013 | Claimant(s): Wells Fargo Securities
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Robert Lavanco
Respondent Lawyers(s): Robert John Lavanco
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
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| 12-00816 | 01/16/2013 | Claimant(s): Ziad Yaghnam
Claimant Lawyers(s): Ziad Yaghnam
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Marcie Mintz
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
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| 11-02407 | 12/21/2011 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David Lee
Respondent(s): Albert Krauza
Respondent Lawyers(s): Albert J Krauza
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
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