| 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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| 12-03265 | 04/11/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Megan M. Christensen
Respondent(s): Adam Gurien
Respondent Lawyers(s): Andrew R. Macklin
Arbitrator(s): Linda J. Baer, Veronica Ann Williams, Zung T. Nguyen
Hearing Site: Newark, NJ
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| 12-00416 | 04/01/2014 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Elizabeth A. Scoditti
Respondent(s): Steven Greenberg
Respondent Lawyers(s): Peter M. Khrinenko
Arbitrator(s): Cynthia H. Plishtin
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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| 13-00839 | 03/13/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): John Mikhael
Respondent Lawyers(s): John Mikhael
Arbitrator(s): Neal D. Baker, Leslie Ruth Nydick, Jeffrey H. Rosenthal
Hearing Site: Newark, NJ
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| 13-02678 | 03/05/2014 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Edward Murphy
Respondent Lawyers(s): Edward Thomas Murphy
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
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| 12-00460 | 02/10/2014 | Claimant(s): Jason Kronick
Claimant Lawyers(s): Jason Elliot Kronick
Respondent(s): August Cellitti, Robert Pedretti, Argentis Holdings, Securevest Financial Group
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Simone A. Muscarnera, Bernard M. Levine, Louis Aloysius Hall
Hearing Site: Newark, NJ
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| 12-02153 | 01/07/2014 | Claimant(s): Christine Frole
Claimant Lawyers(s): Blaine H. Bortnick
Respondent(s): Dennis Zaplin, Chase Investment Services Corp., Gregg Kleinbaum, Jason Navolio, Joseph Mignano
Respondent Lawyers(s): Lawrence R. Sandak
Arbitrator(s): Laura H. Goldzung, Linda J. Baer, Scott Mooney
Hearing Site: Newark, NJ
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| 12-01412 | 11/26/2013 | Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Eric J. Dec
Respondent(s): Robert Ainbinder
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): Jerry P. DeNigris, Linda J. Baer, Bryan David Glass
Hearing Site: Newark, NJ
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| 12-03128 | 11/22/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Harry D. Frisch
Respondent(s): Richard Going
Respondent Lawyers(s): Richard L. Going
Arbitrator(s): Sam Antar
Hearing Site: Newark, NJ
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