| 09-01546 | 11/24/2009 | Claimant(s): Lincoln Investment Planning.
Claimant Lawyers(s): Joshua S. Ganz
Respondent(s): Linda Bailey
Respondent Lawyers(s): Linda Joan Bailey
Arbitrator(s): Jerry P. DeNigris
Hearing Site: Newark, NJ
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| 09-01549 | 10/22/2009 | Claimant(s): Lincoln Investment Planning.
Claimant Lawyers(s): Joshua S Ganz
Respondent(s): Ronnie Ben-Aron
Respondent Lawyers(s): Ronnie Ben-Aron
Arbitrator(s): Thomas J. Hanrahan
Hearing Site: Newark, NJ
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| 07-03030 | 10/16/2009 | Claimant(s): Gretchen Burke
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Citigroup Global Markets., Jeffrey Tucker, John Ebaniette
Respondent Lawyers(s): Christopher M. Galusha
Arbitrator(s): Joseph B. Russell, Dwight Wassong, Sharon A. McCloskey
Hearing Site: Newark, NJ
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| 09-01953 | 09/14/2009 | Claimant(s): Summit Brokerage Services.
Claimant Lawyers(s): Michael Lang
Respondent(s): Brad Nussbaum
Respondent Lawyers(s): Brad N. Nussbaum
Arbitrator(s): Marvin Schleyer
Hearing Site: Newark, NJ
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| 09-00159 | 09/01/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Rocco Licalsi
Respondent Lawyers(s): James N. Barletti
Arbitrator(s): Nathan J. Minucci
Hearing Site: Newark, NJ
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| 08-00849 | 08/18/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Thomas A. Volz
Respondent(s): Michael Caprioni
Respondent Lawyers(s): Michael Caprioni
Arbitrator(s): James M. Baumann, Alan Shaw, Joseph Christopher Rosa
Hearing Site: Newark, NJ
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| 08-00523 | 08/13/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Robert Martin
Respondent Lawyers(s): Robert Martin
Arbitrator(s): Thomas Caiaffa, Jeffrey Steinberg, John W. Thomas
Hearing Site: Newark, NJ
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| 07-03516 | 08/05/2009 | Claimant(s): Joseph Petrone
Claimant Lawyers(s): Linda M. Deola
Respondent(s): Investacorp., Ladenburg Thalmann Financial Services LL
Respondent Lawyers(s): Mark J. Astarita, Michael J. Astarita
Arbitrator(s): Kip C. Lubcke, John R. Pepe, Linda J. Baer
Hearing Site: Newark, NJ
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| 08-03853 | 07/31/2009 | Claimant(s): Bernard Cohen
Claimant Lawyers(s): David J. Butler
Respondent(s): Estate of Joseph Moreno
Respondent Lawyers(s): Jay Moreno
Arbitrator(s): Linda T. Pellegrino, Nicholas J. Chopey, Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | Expungement |
| 08-03509 | 07/27/2009 | Claimant(s): Ronald Morrone
Claimant Lawyers(s): Dan A. Druz
Respondent(s): IFMG Securities.L Financial Corporation, Sun Life Financial Distributors.
Respondent Lawyers(s): N. Nancy Ghabai
Arbitrator(s): Daniel J. McCarthy, Abraham Harry Bunis, Thomas A. Abitabile
Hearing Site: Newark, NJ
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