| 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 |
| 15-00011 | 12/14/2015 | Claimant(s): Pamela Averick, Averick Financial LLC
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machinski
Arbitrator(s): Joseph J. Arata, Howard D. Jacob, Edward W. Morris
Hearing Site: New York, NY
| | $0 |
| 13-00310 | 08/10/2015 | Claimant(s): Julie Lefkowitz, E. Lefkowitz Trust
Claimant Lawyers(s): Peter H. McCallion
Respondent(s): Oppenheimer & Co.., John Miller
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Robert E. Anderson, Edward W. Morris, Sylvia Kaminsky
Hearing Site: New York, NY
| | $0 |
| 14-00243 | 04/01/2015 | Claimant(s): Lisa Pavlakis
Claimant Lawyers(s): Richard C. Schoenstein
Respondent(s): George Morris, Blackwall Capital Markets.
Respondent Lawyers(s): George Morris, Robert M. Bursky
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
| | $107,576 |
| 12-03880 | 12/12/2014 | Claimant(s): Maryellen Lurie
Claimant Lawyers(s): David M. White
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
| | Expungement |
| 12-02191 | 10/23/2014 | Claimant(s): Sarah Metzinger
Claimant Lawyers(s): Robert S. Moraff
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Edward W. Morris, Richard C. Antonelli, Jay Alan Kranis
Hearing Site: Newark, NJ
| | Expungement |
| 13-02441 | 06/25/2014 | Claimant(s): Ladenburg Thalmann & Co..
Claimant Lawyers(s): David Hirschberg
Respondent(s): Kyle Edsall, KWE Capital Management
Respondent Lawyers(s): Kyle W. Edsall, President or Compliance Officer
Arbitrator(s): Michael J. McAllister, Robert L. Nisely, Edward W. Morris
Hearing Site: New York, NY
| | $0 |
| 13-01949 | 03/24/2014 | Claimant(s): Carl Governale
Claimant Lawyers(s): Carl D. Governale
Respondent(s): Perrin, Holden & Davenport Capital
Respondent Lawyers(s): Braff Eisenman
Arbitrator(s): Neil G. Gargiulo, Linda Ashley, Edward W. Morris
Hearing Site: New York, NY
| | $61,000 |
| 13-00306 | 09/10/2013 | Claimant(s): Bridget Kelly, Thomas Kelly
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): Noah Myers, MiddleCove Capital LLC
Respondent Lawyers(s): Noah Lauren Myers, Robbin Meyers
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | $98,264 |
| 11-03097 | 05/14/2013 | Claimant(s): Garret Wyckoff IRA, Garret Wyckoff and Judy Wyckoff JTTen
Claimant Lawyers(s): Howard W. Hirschhorn
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Ilyse Roberta Levison, Morton S. Bunis, Edward W. Morris
Hearing Site: New York, NY
| | $0 |
