| 23-00833 | 12/06/2023 | Claimant(s): Apex Clearing Corporation
Claimant Lawyers(s): Jonathan D. Neerman
Respondent(s): Hui Zou
Respondent Lawyers(s): Hui Zou
Arbitrator(s): Keely D. Parr, Ronald J. Colombo
Hearing Site: New York, NY
|  | $0 |
| 14-01741 | 01/07/2016 | Claimant(s): Crosstown Plumbing Supply.
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Howard W. Hirschhorn, Edward W. Morris, Ronald J. Colombo
Hearing Site: Newark, NJ
| | $346,881 |
| 15-00455 | 09/09/2015 | Claimant(s): Thomas Carney
Claimant Lawyers(s): Thomas R. Carney
Respondent(s): John Zimmer
Respondent Lawyers(s): Cheryl Harris
Arbitrator(s): Ronald J. Colombo
Hearing Site: Newark, NJ
| | $25 |
| 13-01450 | 07/09/2015 | Claimant(s): Laidlaw Biopower, Laidlaw Energy Group.
Claimant Lawyers(s): Michael B. Bartoszek
Respondent(s): Richard Buhr, Chatsworth Securities
Respondent Lawyers(s): Kevin T. Hoffman
Arbitrator(s): William G. Binckes, Robert A. Cohen, Ronald J. Colombo
Hearing Site: New York, NY
| | $0 |
| 12-04071 | 12/30/2014 | Claimant(s): Morris Barkey
Claimant Lawyers(s): Larry Dub
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Joseph A. Vallo
Arbitrator(s): Michael T. Curley, Lise Gabrielle Hunter, Ronald J. Colombo
Hearing Site: New York, NY
| | $0 |
| 14-01148 | 11/06/2014 | Claimant(s): Jesse Ostrow
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Ronald J. Colombo
Hearing Site: New York, NY
| | $213 |
| 12-03803 | 07/11/2014 | Claimant(s): Susan Bowlus, The Dilts Saltzman Partnership, The Dilts & Kappeler Family Trust
Claimant Lawyers(s): Natraj S. Bhushan
Respondent(s): Nello Gonfiantini, Robert Lawless, Stacy Asteriadis, Specialty Capital
Respondent Lawyers(s): Alvin L. Fishman
Arbitrator(s): Thomas D. Giordano, Kathleen Cawley, Ronald J. Colombo
Hearing Site: New York, NY
| | $0 |
| 13-01254 | 12/06/2013 | Claimant(s): Benjamin C. Ritter Jr and Nina Ritter JT
Claimant Lawyers(s): John L. Allen
Respondent(s): Anne Gagnon, Wells Fargo Securities Inc., Wells Fargo Advisors Financial Network, Wells Fargo Advisors, David Rosenberg, Wells Fargo Securities
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Robert E. Anderson, Joseph I. Liebman, Ronald J. Colombo
Hearing Site: New York, NY
| | Expungement |
| 11-04455 | 06/25/2013 | Claimant(s): Robert Stolte
Claimant Lawyers(s): Alan L. Frank
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Alan Shaw, S. Charles Tabak, Ronald J. Colombo
Hearing Site: Newark, NJ
| | Expungement |
| 08-03810 | 05/25/2011 | Claimant(s): Spitz Family Partnership L.P.
Claimant Lawyers(s): Christopher A. Bacotti
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Joan M. Traub, Joshua Mark Zucker, Ronald J. Colombo
Hearing Site: New York, NY
| | $0 |
