| 12-02927 | 11/25/2016 | Claimant(s): C. L. King & Associates.
Claimant Lawyers(s): Richard A. Roth
Respondent(s): William Nicklin
Respondent Lawyers(s): Steven J. Shore
Arbitrator(s): Romaine L. Gardner, Joseph B. Russell, Carole L. Green
Hearing Site: New York, NY
|  | $0 |
| 15-00034 | 05/13/2016 | Claimant(s): Estate of Virginia Clavan
Claimant Lawyers(s): Peter Clavan
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Robert J. Kheel, Romaine L. Gardner, Steven Gary Leventhal
Hearing Site: New York, NY
| | $0 |
| 13-02079 | 06/23/2015 | Claimant(s): Muriel Sturm
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Christopher J. Scanlon
Arbitrator(s): Romaine L. Gardner, Jack Friedman, Ellyn S. Roth
Hearing Site: New York, NY
| | $30,000 |
| 11-04681 | 09/18/2013 | Claimant(s): Roger Davidson, Redwood F Trust, Redwood II F Trust, FBO Naomi Davidson, FBO William Davidson, Redwood II Trust, Robin II Trust, Roger C. Davidson Revocable Trust
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Romaine L. Gardner, Sandra J. Mullings, Joan Marie Chiusano
Hearing Site: New York, NY
| | Expungement |
| 12-04158 | 07/31/2013 | Claimant(s): Daniel Sciarra
Claimant Lawyers(s): Daniel T. Sciarra
Respondent(s): Amit Chopra, Gary Goldberg & Co..
Respondent Lawyers(s): Thomas Cattani
Arbitrator(s): Romaine L. Gardner
Hearing Site: New York, NY
| | $0 |
| 11-03689 | 04/17/2013 | Claimant(s): Milissa Martin
Claimant Lawyers(s): Rory M. McLaughlin
Respondent(s): J.P. Morgan Clearing Corp., J.P. Morgan Securities, Bear, Stearns & Co.
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Romaine L. Gardner, Robert S. Getman, David J. Pine
Hearing Site: New York, NY
| | $0 |
| 09-04138 | 01/07/2013 | Claimant(s): Julia Hussey
Claimant Lawyers(s): William J. Gladden
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Avi Stadler
Arbitrator(s): Romaine L. Gardner, Carolyn A. Mann, Stephen Laughlin Eddy
Hearing Site: Memphis, TN
| | $0 |
| 11-00753 | 06/15/2012 | Claimant(s): William Heinzerling
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Matthew C. Plant
Arbitrator(s): Romaine L. Gardner, Abigail J. Pessen, Maya Steinitz
Hearing Site: New York, NY
| | $0 |
| 09-06657 | 04/04/2011 | Claimant(s): Leslie Katz
Claimant Lawyers(s): Alex Gardner
Respondent(s): Citigroup Global Markets., Marvin Lerman
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Robert Manfredo, Romaine L. Gardner, Bernard Korman
Hearing Site: New York, NY
| | $0 |
| 08-01148 | 03/30/2009 | Claimant(s): Gisela Selo
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Robert R. Meredith & Co..
Respondent Lawyers(s): Barbara J. Glenns
Arbitrator(s): Romaine L. Gardner, Hugh N. Fryer, Brian J. Neville
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
