| 17-02129 | 12/14/2017 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): John J Allegretto
Respondent(s): Jonathan Fetner
Respondent Lawyers(s): Jonathan B Fetner
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
| | |
| 17-00128 | 11/07/2017 | Claimant(s): Thomas O'connell
Claimant Lawyers(s): George L. Mahr
Respondent(s): Comprehensive Asset Management
Respondent Lawyers(s): Glenn Aufrichtig
Arbitrator(s): Joan M. Traub, Edward W. Morris, Joseph Antim Galati
Hearing Site: Newark, NJ
| | |
| 16-03220 | 11/02/2017 | Claimant(s): Eugene Giaquinto
Claimant Lawyers(s): Gary Menzer
Respondent(s): Lightspeed Trading
Respondent Lawyers(s): James L. Kopecky
Arbitrator(s): Micalyn S. Harris, Paul Allan Massaro, Robert Allen Pope
Hearing Site: Newark, NJ
| | |
| 17-01802 | 11/01/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Barry Connell
Respondent Lawyers(s): Barry Franklin Connell
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 17-01141 | 10/30/2017 | Claimant(s): Lawrence Catena
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Joseph H. Cerame
Hearing Site: Newark, NJ
| | |
| 15-02700 | 10/13/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): T.R. Bynum
Respondent(s): John Boston
Respondent Lawyers(s): John Boston
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | |
| 17-00760 | 10/13/2017 | Claimant(s): Richard Lafferty
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Philip Levine
Hearing Site: Newark, NJ
| | |
| 15-01841 | 09/19/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s): Alexander Bolshem
Respondent Lawyers(s): Ethan A. Brecher
Arbitrator(s): Alan James Jacoby, Jay Alan Kranis, Sandra Holtzman
Hearing Site: Newark, NJ
| | |
| 16-03366 | 09/12/2017 | Claimant(s): Fillip Gershon
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Smitham
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | |
| 15-02459 | 08/30/2017 | Claimant(s): Andrew Reynolds, Jeremy Andres, Mark Nauman
Claimant Lawyers(s): Nikolas S. Komyati
Respondent(s): Stewart Lampert, Lampert Capital Markets Inc.
Respondent Lawyers(s): S. Randy Lampert
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
