| 11-01513 | 11/19/2012 | Claimant(s): Ronald Viola
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Chan Nam
Arbitrator(s): William I. Carmen, Jane S. McMahon, Francis J. Pavetti
Hearing Site: Hartford, CT
|  | Expungement |
| 11-01519 | 11/19/2012 | Claimant(s): Timothy Hullett
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | $225 |
| 11-00892 | 09/19/2012 | Claimant(s): Dharmendra Patel and Saroj Patel
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Linda T. Pellegrino
Hearing Site: Newark, NJ
| | Expungement |
| 11-03325 | 09/14/2012 | Claimant(s): Heidi Fritsch-Gil
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Carrie L. Chelko
Arbitrator(s): Abraham Harry Bunis
Hearing Site: Newark, NJ
| | Expungement |
| 11-00939 | 09/06/2012 | Claimant(s): Jay Ash
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors, Merrill Lynch Pierce Fenner & Smith Inc., Ronald Lavo
Respondent Lawyers(s): Spencer Persson
Arbitrator(s): Doris V. Knotter, Sally G. Williams, Deanna Margaret Veitia
Hearing Site: San Diego, CA
| | Expungement |
| 10-04364 | 08/31/2012 | Claimant(s): Mark Zaidel
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Bryant Weintraub
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Christopher C. Willett, Ramona L. Gallagher, Martin John Satalin
Hearing Site: Syracuse, NY
| | Expungement |
| 11-01514 | 08/21/2012 | Claimant(s): James Skidmore, Peggy Skidmore
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): J.P. Morgan Securities Inc.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Craig Scott Bartlett, Edith M. Novack, Paul Allan Massaro
Hearing Site: Newark, NJ
| | $0 |
| 11-00258 | 07/17/2012 | Claimant(s): Helena Stuart, John Stuart
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Morgan Stanley, Robert Fomon
Respondent Lawyers(s): Kenneth E. Meister, Susan Poder MacFarlane
Arbitrator(s): Diane Getzler, Orestes J. Mihaly, Julian F. Santos
Hearing Site: New York, NY
| | $0 |
| 10-05280 | 07/09/2012 | Claimant(s): Jack Shuster
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Jordan Netburn, Axiom Capital Management.
Respondent Lawyers(s): Barry S. Gold, Sophia Ree
Arbitrator(s): Michael E. Scullin
Hearing Site: Philadelphia, PA
| | Expungement |
| 11-00748 | 07/05/2012 | Claimant(s): Theresa Falzarano
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Carol Corbett, John James McGovern, Edward Charles Mengel
Hearing Site: Philadelphia, PA
| | $0 |
