| 15-00779 | 04/05/2016 | Claimant(s): R. Seelaus & Co..
Claimant Lawyers(s): Matthew D. Janssen
Respondent(s): Michael Cornell
Respondent Lawyers(s): Michael D. Mezzacca
Arbitrator(s): Walter C. Parrish, Morton S. Bunis, Neal D. Baker
Hearing Site: Newark, NJ
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| 11-02169 | 02/17/2016 | Claimant(s): James Cady
Claimant Lawyers(s): Kevin E. Barber
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Marvin Schleyer, Neal D. Baker, Michael A. Ruderman
Hearing Site: Newark, NJ
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| 14-02717 | 01/29/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Gavin Natelli
Respondent Lawyers(s): John P. Nulty
Arbitrator(s): Linda J. Baer, Edward W. Morris, Michael Joseph Mignano
Hearing Site: Newark, NJ
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| 15-00251 | 10/20/2015 | Claimant(s): Keith Steidle
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): Nationwide Planning Associates Inc.
Respondent Lawyers(s): Michael J. Karalewich
Arbitrator(s): Linda T. Pellegrino
Hearing Site: Newark, NJ
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| 13-03332 | 10/16/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David Schmidt
Respondent(s): David Seigerman
Respondent Lawyers(s): David A. Seigerman
Arbitrator(s): Bernard M. Levine, Ariel Berschadsky, Roland E. Wyatt
Hearing Site: Newark, NJ
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| 14-02777 | 10/02/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Alan Blecker
Respondent Lawyers(s): Brian J. Neville
Arbitrator(s): Bernard M. Levine
Hearing Site: Newark, NJ
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| 14-01704 | 09/18/2015 | Claimant(s): Buckman, Buckman & Reid.
Claimant Lawyers(s): Michael D. Handelsman
Respondent(s): Apex Clearing Corporation
Respondent Lawyers(s): Robert W. Hamburg
Arbitrator(s): Alan James Jacoby, Theodore Moreines, Brian A. Carlis
Hearing Site: Newark, NJ
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| 15-00226 | 07/13/2015 | Claimant(s): Gerald Sharpe, National Securities Corporation, Sharpco International
Claimant Lawyers(s): Paul A. Lieberman
Respondent(s): Michael Farrell
Respondent Lawyers(s): James Farrell
Arbitrator(s): Barbara Weisman
Hearing Site: Newark, NJ
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| 13-01078 | 06/22/2015 | Claimant(s): James Swan
Claimant Lawyers(s): Nicholas Stevens
Respondent(s): BB&T Securities
Respondent Lawyers(s): Adam Stern
Arbitrator(s): Charles L. Prothero, Linda J. Baer, Louis Aloysius Hall
Hearing Site: Newark, NJ
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| 11-02334 | 06/09/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Brian McCafferty
Respondent Lawyers(s): Dan Druz
Arbitrator(s): Alan Shaw, Edith M. Novack, David Morris Weiss
Hearing Site: Newark, NJ
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