| 18-02479 | 11/13/2019 | Claimant(s): Betsy Hoffman
Claimant Lawyers(s): Betsy Hoffman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Julian F. Santos, Edward S. Hill, Christine H Barrington
Hearing Site: Hartford, CT
|  | $0 |
| 18-01353 | 06/26/2019 | Claimant(s): Janet Zagaro
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Steven Pagartanis
Respondent Lawyers(s): Steven Pagartanis
Arbitrator(s): David S. Billet, Julian F. Santos, Bernard Lieberman
Hearing Site: New York, NY
| | $1,462,000 |
| 15-03492 | 05/13/2019 | Claimant(s): Dolores Soccodato
Claimant Lawyers(s): Brad S. Maistrow
Respondent(s): Mark Ketner, Maxim Group LLC
Respondent Lawyers(s): Ian H. Hummel
Arbitrator(s): Julian F. Santos, Alice E. Winkler, Susan Manca
Hearing Site: New York, NY
| | $226,356 |
| 18-00615 | 01/11/2019 | Claimant(s): David Stack
Claimant Lawyers(s): Timothy C. Lynch
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): Julian F. Santos
Hearing Site: New York, NY
| | Expungement |
| 17-03437 | 01/07/2019 | Claimant(s): Aldus Chapin, Chapin Family Trust
Claimant Lawyers(s): Aldus N Chapin
Respondent(s): TD Ameritrade., Citigroup Global Markets.
Respondent Lawyers(s): Richard C. Szuch, Simeon Schopf
Arbitrator(s): Harvey Barrison, Julian F. Santos, Pierre F. de Ravel d'Esclapon
Hearing Site: New York, NY
| | Expungement |
| 16-03750 | 07/11/2018 | Claimant(s): Joseph Schena, Kathleen Schena
Claimant Lawyers(s): James P. Lucking
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Julian F. Santos, Jerome M Shafer, Michael J. Deodati
Hearing Site: New York, NY
| | Expungement |
| 14-01495 | 05/03/2016 | Claimant(s): Brian Miller
Claimant Lawyers(s): Jay J. Freireich
Respondent(s): David Briegs, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Julian F. Santos, Simone A. Muscarnera, Marc B Adelman
Hearing Site: Newark, NJ
| | Expungement |
| 15-01680 | 02/08/2016 | Claimant(s): Mark Hennings
Claimant Lawyers(s): Stephanie Habelow
Respondent(s): Kevin Murphy, Next Financial Group., Visionary Asset Management.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Julian F. Santos
Hearing Site: Wilmington, DE
| | $300 |
| 14-00646 | 12/24/2015 | Claimant(s): David Merdinger, LionsGate TIC 2, Six Forks Station 21, TIC RI Torrance 19
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Julian F. Santos, Robert T. Costello, Jay Alan Kranis
Hearing Site: Newark, NJ
| | Expungement |
| 14-01945 | 04/13/2015 | Claimant(s): Cheryl Caiazza, Gerald Abatemarco, III, Michael Tillman, Anthony Caiazza IRA, Bryan Gelman IRA, Eric Gelman IRA, Gerald Abatemarco IRA, Lynn Gelman IRA, Nancy Abatemarco IRA, Preston Gelman IRA, Anthony Caiazza and Cheryl Caiazza, Eric Gelman and Lynn Gelman, Gerald Abatemarco & Nancy Abatemarco, Joseph Gallina and Diane Gallina, Steven Tillman and Penny Tillman, ASB Profit Sharing Plan U/A DTD 9/1/85, A&A Brake Service Retirement Trust`
Claimant Lawyers(s): Martin P. Hunger
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Julian F. Santos, Alvin Green, Nancy Kramer
Hearing Site: New York, NY
| | Dismissed by Rule 12504 |
