| 17-00478 | 08/23/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Anthony Marino
Respondent Lawyers(s): Anthony Joseph Marino
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 17-00394 | 08/17/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Robert O'Herlihy
Respondent Lawyers(s): Robert Frances O'Herlihy
Arbitrator(s): Catherine Stewart
Hearing Site: Newark, NJ
| | |
| 17-00932 | 08/09/2017 | Claimant(s): Charles Connant
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Morton S. Bunis
Hearing Site: Newark, NJ
| | |
| 17-00366 | 08/07/2017 | Claimant(s): National Planning Corporation
Claimant Lawyers(s): Kate E DiGeronimo
Respondent(s): Robert Grossman
Respondent Lawyers(s): Robert Keith Grossman
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 16-01209 | 07/19/2017 | Claimant(s): Tullett Prebon Financial Services LLC
Claimant Lawyers(s): Jonathan Stoler
Respondent(s): Andrew Arnold, Bay Crest Partners
Respondent Lawyers(s): Jed L. Marcus, Kenneth J. Rubinstein
Arbitrator(s): Neal D. Baker, Jeremiah John O'Connell, Lawrence Williams
Hearing Site: Newark, NJ
| | |
| 17-00571 | 07/03/2017 | Claimant(s): First Standard Financial Company Llc
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Joseph Degregorio
Respondent Lawyers(s): Joseph Orazio Degregorio
Arbitrator(s): Peter L. Michaelson
Hearing Site: Newark, NJ
| | |
| 17-00343 | 06/19/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Kenneth Helman
Respondent Lawyers(s): Kenneth Michael Helman
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: Newark, NJ
| | |
| 17-00289 | 06/14/2017 | Claimant(s): Kathleen Entwistle
Claimant Lawyers(s): David Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | |
| 16-03245 | 05/30/2017 | Claimant(s): John Barrett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Lacy M. Triplett
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Newark, NJ
| | |
| 15-02759 | 04/25/2017 | Claimant(s): Charles Gilbride, Dean Myerow
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): BB&T Securities
Respondent Lawyers(s): David E. Constine
Arbitrator(s): Edward W. Morris, Gregory James Libertiny, Sean F. Monahan
Hearing Site: Newark, NJ
| | |
