| 14-02178 | 03/31/2015 | Claimant(s): David Yusupov
Claimant Lawyers(s): David Yusupov
Respondent(s): Cole Miller
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Louis P. Wagman
Hearing Site: New York, NY
|  | $0 |
| 14-00679 | 02/23/2015 | Claimant(s): Myrna Borus and David Borus
Claimant Lawyers(s): David Borus
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): James M. Rhodes, Alice Holly Oshins, Louis P. Wagman
Hearing Site: New York, NY
| | $0 |
| 13-03115 | 01/30/2015 | Claimant(s): Barry Mankowitz, Barry J. Mankowitz, M.D. IRA
Claimant Lawyers(s): Edward A. Paltzik
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Lynne M. Reid-McQueen, Mary Lou McGanney, Louis P. Wagman
Hearing Site: New York, NY
| | $202,961 |
| 13-03054 | 12/30/2014 | Claimant(s): Wayne Lewis
Claimant Lawyers(s): Wayne R. Lewis
Respondent(s): Ameriprise Financial Services., Lawrence Van Ollefen
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Steven T. Stern, Louis P. Wagman, Kathleen Jones Spilker
Hearing Site: Philadelphia, PA
| | $0 |
| 13-02163 | 08/19/2014 | Claimant(s): Larry Campbell
Claimant Lawyers(s): Thomas J. Zagami
Respondent(s): Wells Fargo Advisors, Tricia Tompkins
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
| | $0 |
| 13-01793 | 07/25/2014 | Claimant(s): Daniel Bosch, Margaret Bosch
Claimant Lawyers(s): Richard D. De Vita
Respondent(s): Wells Fargo Advisors, Banc of America Investment Services Inc.
Respondent Lawyers(s): Dominck F. Evangelista, Susan E. Mulholland
Arbitrator(s): Jon Martino, Louis P. Wagman, Jacob Scherer
Hearing Site: Newark, NJ
| | Expungement |
| 11-04795 | 06/25/2013 | Claimant(s): Miguel Damien
Claimant Lawyers(s): Mark D. Miller
Respondent(s): Wells Fargo Advisors, Zakkour Chivi
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Abraham Harry Bunis, Robert W. Kenter, Louis P. Wagman
Hearing Site: Newark, NJ
| | $0 |
| 12-01511 | 05/14/2013 | Claimant(s): Carrie Meyers, Joseph Meyers
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Joseph Calabrese
Arbitrator(s): Linda Ashley, Howard A. Litvack, Louis P. Wagman
Hearing Site: New York, NY
| | Expungement |
| 10-05817 | 04/13/2012 | Claimant(s): Agnes Ruymen, Estate of Roy Ruymen, Roy Ruymen's Retirement Accounts & Plans
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Tom Briody
Arbitrator(s): Louis H. Miron, William R.H. Martin, Louis P. Wagman
Hearing Site: Newark, NJ
| | Expungement |
| 06-03481 | 03/18/2008 | Claimant(s): Mark Urich
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): Richard Lewin, Robert Lewin
Respondent Lawyers(s): James M. Moriarty
Arbitrator(s): Douglas John Baumann, Roland E. Wyatt, Louis P. Wagman
Hearing Site: New York, NY
| | $0 |
