| 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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| 16-01480 | 10/21/2016 | Claimant(s): Anita Lennon
Claimant Lawyers(s): Anita Lennon
Respondent(s): Brian Villante, Grace Financial Group LLC
Respondent Lawyers(s): Brian Villante
Arbitrator(s): Micalyn S. Harris
Hearing Site: Newark, NJ
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| 15-00815 | 10/19/2016 | Claimant(s): Metehan Erim
Claimant Lawyers(s): Jason J. LeBoeuf
Respondent(s): Carol Doran-Timmins, Craig Pruett, Eric Tepper, J.P. Morgan Securities, Manuel Ruiz, Michael Ayerov, Robert Smalls
Respondent Lawyers(s): Matthew Wholey
Arbitrator(s): Charles L. Prothero, Linda J. Baer, Peter John Maurice Forbes
Hearing Site: Newark, NJ
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| 15-01370 | 09/02/2016 | Claimant(s): Walter Kukowski
Claimant Lawyers(s): Robert Knuts
Respondent(s): Wells Fargo Advisors, PNC Investments LLC
Respondent Lawyers(s): Demain J. Betz, Gary J. Lieberman
Arbitrator(s): Patrick R. Westerkamp, Esq.
Hearing Site: Newark, NJ
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| 16-01186 | 08/18/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Kenneth M. Murray
Respondent(s): Manoj Pataudi Mudgal
Respondent Lawyers(s): Manoj Pataudi Mudgal
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
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| 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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| 16-00638 | 08/12/2016 | Claimant(s): Mark Smalley
Claimant Lawyers(s): Mark Brian Smalley
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Robert E. Anderson, Joseph H. Cerame, Leo J. Karwejna
Hearing Site: Newark, NJ
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| 15-03222 | 07/27/2016 | Claimant(s): Keith Steidle
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): Nationwide Planning Associates Inc.
Respondent Lawyers(s): Michael J. Karalewich
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
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| 16-00529 | 07/27/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Lawrence Bogar
Respondent Lawyers(s): Lawrence K. Bogar
Arbitrator(s): Neal D. Baker
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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