| 22-01862 | 07/03/2023 | Claimant(s): Grace Stavalo
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Veronica Ann Williams, Paul David Hayes, Bradley E Greenberg
Hearing Site: Jersey City, NJ
|  | $0 |
| 20-03583 | 03/07/2022 | Claimant(s): Kevin O'Sullivan
Claimant Lawyers(s): Matt E. Wolper
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Veronica Ann Williams, Steven C. Kasarda, Sofia Balile
Hearing Site: New York, NY
| | Expungement |
| 21-00663 | 01/28/2022 | Claimant(s): Hedvig Mayer
Claimant Lawyers(s): Sam A. Silverstein
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Veronica Ann Williams, Patricia Kathleen Costello, Virginia Mary Hunt
Hearing Site: New York, NY
| | $0 |
| 20-02349 | 06/14/2021 | Claimant(s): James Gallagher Rollover IRA, James and Donna Gallagher
Claimant Lawyers(s): James J. Gallagher
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Veronica Ann Williams, Howard Alan Grinsberg, Phillip Michael Brown
Hearing Site: Jersey City, NJ
| | $0 |
| 17-01681 | 08/09/2019 | Claimant(s): The Joseph Conti Revocable Trust
Claimant Lawyers(s): Jared A. Levy
Respondent(s): Erik Pica, Joseph Stone Capital L.L.C.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Emily Diamond, Veronica Ann Williams, Loretta Yin
Hearing Site: Newark, NJ
| | $10,000 |
| 17-01523 | 02/13/2019 | Claimant(s): Ion Zupcu, Rodica Zupcu
Claimant Lawyers(s): Timothy J. O'Connor
Respondent(s): Kenneth Christman, Stifel, Nicolaus & Co.., Theresa Scott
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Veronica Ann Williams
Hearing Site: New York, NY
| | Expungement |
| 16-00188 | 04/05/2018 | Claimant(s): Francine Sorkin Segal
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Catherine Stewart, Robert E. Anderson, Veronica Ann Williams
Hearing Site: Newark, NJ
| | Expungement |
| 15-01906 | 09/23/2016 | Claimant(s): Mario Marelli, Sara Lord
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Morgan Stanley, Michael Glovas
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Pamela H. Roderick, Leslie Ruth Nydick, Veronica Ann Williams
Hearing Site: New York, NY
| | $300 |
| 14-01864 | 07/01/2015 | Claimant(s): Laura Danielle Kornhauser Holding Trust, Michelle Mary Kornhauser Holding Trust I, Paul Michael Kornhauser Holding Trust I
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Michael Fischetti, Veronica Ann Williams, Christopher Jude Henwood
Hearing Site: Newark, NJ
| | $150,000 |
| 11-00673 | 10/10/2012 | Claimant(s): Lawrence S. Deitch SEP, Lawrence S. Deitch & Andrea W. Deitch Jo
Claimant Lawyers(s): Joseph A. Sack
Respondent(s): Jeremy Kramer, Marvin Schwartz, Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Denzil J. Klippel, Veronica Ann Williams, Wayne I. Harris
Hearing Site: New York, NY
| | $0 |
