| 11-01806 | 11/16/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Sean G Duffy
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
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| 10-01073 | 10/20/2011 | Claimant(s): Charles Cerone
Claimant Lawyers(s): Joel N. Kreizman
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Bank of America, Banc of America Insurance Services
Respondent Lawyers(s): Karen P. Gaster
Arbitrator(s): Louis H. Miron, Sandralin J. Kiss, Barbara Weisman
Hearing Site: Newark, NJ
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| 11-01024 | 09/01/2011 | Claimant(s): Garden State Securities.
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Anthony Sparber
Respondent Lawyers(s): Anthony M. Sparber
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: Newark, NJ
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| 11-01010 | 08/02/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Alfred Nittoli
Respondent Lawyers(s): Alfred Thomas Nittoli
Arbitrator(s): David I. Goldblatt
Hearing Site: Newark, NJ
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| 08-03738 | 07/25/2011 | Claimant(s): Synergy Investment Group
Claimant Lawyers(s): Raquel Terrigno
Respondent(s): Baruch Coleman, Burton Medlin, Christopher Palladino, Eric Sides, Jeffrey Jones, Mark Wesley, Timothy Bain, The Synergy Holding Group, Vision Trek
Respondent Lawyers(s): Baruch Coleman, Raquel Terrigno
Arbitrator(s): Kip C. Lubcke, Abraham Harry Bunis, Joan Marie Chiusano
Hearing Site: Newark, NJ
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| 10-05274 | 06/24/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Christopher Keosseian
Respondent Lawyers(s): Christopher Keosseian
Arbitrator(s): David I. Goldblatt
Hearing Site: Newark, NJ
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| 10-01344 | 06/23/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D. Weinreich
Respondent(s): Elliott Wislar
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s): Greg Plifka, Bertrand M. Lanchner, Bryan David Glass
Hearing Site: Newark, NJ
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| 09-00567 | 06/22/2011 | Claimant(s): Anthony Gusmano, Joseph Bellantuono
Claimant Lawyers(s): Douglas H. Wigdor
Respondent(s): ICAP Securities USA LLC
Respondent Lawyers(s): Christine A. Amalfe
Arbitrator(s): Garrett J. Dombrowski, Saverio J. Cina, Brian J. Burstin
Hearing Site: Newark, NJ
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| 10-04320 | 06/03/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): John Moran
Respondent Lawyers(s): Brian J. Fruehling
Arbitrator(s): Barry S. Jacobson
Hearing Site: Newark, NJ
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| 10-00784 | 05/27/2011 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Anthony Diaz
Respondent Lawyers(s): Chad N. Cagan
Arbitrator(s): S. Charles Tabak
Hearing Site: Newark, NJ
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