| 16-01326 | 06/02/2017 | Claimant(s): Inger Telian
Claimant Lawyers(s): Inger Telian
Respondent(s): LPL Financial LLC, Frank Congemi
Respondent Lawyers(s): Katie Lynn Zorc
Arbitrator(s): Vincent C. Pangia, Robert E. Anderson, Eugene G. P. Byrne
Hearing Site: New York, NY
|  | Dismissed by Rule 12206 |
| 16-01357 | 04/18/2017 | Claimant(s): Jay Sabey, Michael Sabey, Peter Sabey, W. Sabey
Claimant Lawyers(s): Douglas Sabey
Respondent(s): USAA Financial Advisors., USAAInvestment Management Company
Respondent Lawyers(s): Theodore C. Schultz
Arbitrator(s): Robert E. Anderson, Joseph Rudolph Guarino, Joan Dawn Hogarth
Hearing Site: Newark, NJ
| | $0 |
| 16-00359 | 12/08/2016 | Claimant(s): Lightspeed Trading
Claimant Lawyers(s): Howard J. Rosenburg
Respondent(s): Jaime Collin
Respondent Lawyers(s): Jaime H. Collin
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | Stipulated Award |
| 14-02975 | 10/18/2016 | Claimant(s): Richard Epstein
Claimant Lawyers(s): Jeffrey A. Sellers
Respondent(s): David Lerner Associates., David Lerner, Gary Isler
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Michael Fischetti, Robert E. Anderson, Scott M. Pellegrino
Hearing Site: Newark, NJ
| | Expungement |
| 15-02814 | 07/08/2016 | Claimant(s): Marina Dedivanovic
Claimant Lawyers(s): Joseph J. Sullivan
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | Expungement |
| 14-03312 | 04/26/2016 | Claimant(s): Frank Munnerlyn, Margaret Munnerlyn
Claimant Lawyers(s): Ariel S. Rosenzveig
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Sandra Gale Behrle, Robert E. Anderson, Fern Sue Reidman
Hearing Site: New York, NY
| | Expungement |
| 14-00235 | 11/13/2015 | Claimant(s): Malgorzata Petersen, M & R Petersen Family Limited Partnershi
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Mark Harwanko, Ameriprise Financial Services Inc
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Robert E. Anderson, Leslie Ruth Nydick, Sirena Terr
Hearing Site: Newark, NJ
| | Expungement |
| 14-00299 | 11/12/2015 | Claimant(s): Peter Doyle, Peter Doyle IRA
Claimant Lawyers(s): Ruthann Granito
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael Gaico
Arbitrator(s): James J. Fishman, Robert E. Anderson, Nino Armienti
Hearing Site: New York, NY
| | Expungement |
| 13-03133 | 10/19/2015 | Claimant(s): Nico Phillips
Claimant Lawyers(s): Nico Phillips
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Michael N. Ungar
Arbitrator(s): William G. Binckes, Robert L. Nisely, Robert E. Anderson
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 |
