| 12-04349 | 07/26/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Joseph L. Gordon
Respondent(s): Lance Hubeny
Respondent Lawyers(s): Sarah Grimes
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 13-00376 | 06/28/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): John Donovan
Respondent Lawyers(s): John P. Donovan
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 12-04008 | 06/20/2013 | Claimant(s): Anthony Toto
Claimant Lawyers(s): Anthony R. Toto
Respondent(s): PNC Investments
Respondent Lawyers(s): Heather A. Pierce
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | |
| 11-03303 | 06/11/2013 | Claimant(s): Michael Cappetto
Claimant Lawyers(s): Gregory S. Schaer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Dimarsico, Scott Blackburn, Sheila Mccullough
Respondent Lawyers(s): Karen P. Gaster
Arbitrator(s): Louis H. Miron, Walter C. Parrish, Daniel A. Pinkus
Hearing Site: Newark, NJ
| | |
| 12-00788 | 06/11/2013 | Claimant(s): Robert Meyer
Claimant Lawyers(s): Charles J. Uliano
Respondent(s): Edward Moldaver, Morgan Stanley
Respondent Lawyers(s): David Robbins, Kevin B. Walker
Arbitrator(s): Charles A. Crocco, Michael L.B. Kaplan, Louis P. Wagman
Hearing Site: Newark, NJ
| | |
| 12-03759 | 05/30/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Melissa A. Bevilacqua
Respondent(s): Jack Zotti
Respondent Lawyers(s): Jack Zotti
Arbitrator(s): Linda J. Baer
Hearing Site: Newark, NJ
| | |
| 11-03923 | 05/24/2013 | Claimant(s): Obsidian Financial Group, Llc
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Keith Steidle
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Yvonne F. Rocco, S. Charles Tabak, Jay Alan Kranis
Hearing Site: Newark, NJ
| | |
| 12-03998 | 05/23/2013 | Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Eric J. Dec
Respondent(s): Nicholas D'amico
Respondent Lawyers(s): Nicholas D'Amico
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 12-00057 | 05/15/2013 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Frank Fava
Respondent Lawyers(s): Frank Jerry Fava
Arbitrator(s): Linda T. Pellegrino
Hearing Site: Newark, NJ
| | |
| 11-02850 | 05/08/2013 | Claimant(s): Hennion and Walsh.
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Jason Chambeau, Morgan Stanley
Respondent Lawyers(s): Jonathan C. Thau
Arbitrator(s): Charles A. Crocco, John A. Scudiero, John Herbert Grefe
Hearing Site: Newark, NJ
| | |
