| 12-02636 | 07/01/2013 | Claimant(s): Luke Atwell
Claimant Lawyers(s): Luke A. Atwell
Respondent(s): E*Trade Clearing LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
|  | $0 |
| 12-00392 | 05/29/2013 | Claimant(s): Snow Chu
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina P. Martorana
Arbitrator(s): Kenneth J. Horowitz, Joseph H. Cerame, Peter A. Kiefer
Hearing Site: Newark, NJ
| | Expungement |
| 11-04564 | 01/03/2013 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Ross D. Carmel
Respondent(s): Lynn Guzek, Thomas Guzek
Respondent Lawyers(s): Lynn Kristen Guzek, Thomas John Guzek
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | $0 |
| 11-00681 | 04/26/2012 | Claimant(s): Beth Turkel
Claimant Lawyers(s): Richard De Vita
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David G. Buffa
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | Expungement |
| 10-00922 | 12/19/2011 | Claimant(s): Nanik Panjwani
Claimant Lawyers(s): James C. Jones
Respondent(s): Scott Wetherby, PNC Investments
Respondent Lawyers(s): Benjamin E. Widener
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | $0 |
| 10-05264 | 12/16/2011 | Claimant(s): Mario Conforti
Claimant Lawyers(s): Mark J. Brancato
Respondent(s): Anthony Locascio, FSC Securities Corporation
Respondent Lawyers(s): Justin I. Sacca, Robyn Silvermintz
Arbitrator(s): Jerry P. DeNigris, Alan Shaw, Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | $0 |
| 09-03306 | 04/12/2011 | Claimant(s): Henry Ostberg
Claimant Lawyers(s): Herb Deutsch
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Walter C. Parrish, Kenneth J. Horowitz, Daniel A. Pinkus
Hearing Site: Newark, NJ
| | $0 |
| 07-02956 | 08/08/2008 | Claimant(s): Isidore Fields and Dolores Fields
Claimant Lawyers(s): Isidore Fields
Respondent(s): Chase Investment Services Corp., Loren Bailey, Nicholas Manchisi
Respondent Lawyers(s): Sheila E. Carson
Arbitrator(s): Walter A. Kapuscinski, Kenneth J. Horowitz, S. Charles Tabak
Hearing Site: Newark, NJ
| | $0 |
| 07-01578 | 06/23/2008 | Claimant(s): Mario Picinich, Rosemarie Picinich
Claimant Lawyers(s): Bruce E. Baldinger
Respondent(s): Jeffrey Alecci, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Susan MacFarlane
Arbitrator(s): Nathan J. Minucci, Kenneth J. Horowitz, Norman Kass
Hearing Site: Newark, NJ
| | $0 |
| 07-02933 | 06/16/2008 | Claimant(s): Stuart Shainheit
Claimant Lawyers(s): Paul A. Douglas
Respondent(s): Herbert Mahler, Brean Murray, Carret & Co, Mahler & Emerson Inc.
Respondent Lawyers(s): Marc S. Gottlieb
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | $0 |
