| 20-03554 | 08/03/2021 | Claimant(s): Joan Rudnick, Oak Trail Associates LLC, Oak Trail, II
Claimant Lawyers(s): Ernest Edward Badway
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Linda J. Baer, Marvin L. Schuldiner, Lucille Theresa Alfano
Hearing Site: Jersey City, NJ
|  | $642,610 |
| 15-03232 | 09/26/2017 | Claimant(s): Anthony Listro, Gloria Listro
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors, Richard Galgano
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Marvin L. Schuldiner
Hearing Site: Newark, NJ
| | Expungement |
| 15-01218 | 05/11/2016 | Claimant(s): Gary Penner & Leslie-Ann Furie JTWROS, Gary Penner Profit Sharing Plan, Leslie-Ann Furie Profit Sharing Plan
Claimant Lawyers(s): Gary Penner
Respondent(s): Edward Moldaver, James Lee, Mark Stevenson
Respondent Lawyers(s): David Robbins, Jonathan L. Adler
Arbitrator(s): Karimu F. Hill-Harvey, Catherine Stewart, Marvin L. Schuldiner
Hearing Site: Newark, NJ
| | Expungement |
| 14-03492 | 04/14/2016 | Claimant(s): Frank Garcia
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas Briody
Arbitrator(s): Robert R. Salman, Joseph H. Cerame, Marvin L. Schuldiner
Hearing Site: Newark, NJ
| | $300 |
| 11-03024 | 12/08/2014 | Claimant(s): Natasha Jiovino, Route 36 East LLC
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Michael Fischetti, Micalyn S. Harris, Marvin L. Schuldiner
Hearing Site: Newark, NJ
| | Expungement |
| 11-04614 | 07/22/2013 | Claimant(s): Kenneth Finnegan, Nancy Gouffon, Nancy F. Gouffon, C/F, Kenneth M. Finnegan, IRA, Nancy F. Gouffon IRA, ROTH IRA
Claimant Lawyers(s): Howard B Prossnitz
Respondent(s): Morgan Keegan & Co..
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Julia Rota, Kirtley M. Thiesmeyer, Marvin L. Schuldiner
Hearing Site: Memphis, TN
| | $0 |
| 08-02468 | 04/01/2010 | Claimant(s): Ellen Koval
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Louis H. Miron, Marvin L. Schuldiner, Stephen M. Plotnick
Hearing Site: New York, NY
| | $0 |
