| 14-01373 | 06/02/2015 | Claimant(s): Jeffrey and Julie Mullen
Claimant Lawyers(s): Lance C. McCardle
Respondent(s): Gregory Jacobson, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Stephen L. Lister, S. Charles Tabak, Martin R. Cramer
Hearing Site: Newark, NJ
|  | Expungement |
| 13-03282 | 01/22/2015 | Claimant(s): Hartwyck at Oak Tree., JFK Health System., The Community Hospital Group.
Claimant Lawyers(s): Jay J. Rice
Respondent(s): Cain Brothers & Company
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Daniel J. McCarthy, Ariel Berschadsky, S. Charles Tabak
Hearing Site: Newark, NJ
| | Expungement |
| 13-00808 | 10/07/2014 | Claimant(s): Vincent Vasta
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Morton S. Bunis, S. Charles Tabak, Richard C. Antonelli
Hearing Site: Newark, NJ
| | Expungement |
| 13-01805 | 09/11/2014 | Claimant(s): Robert Regna
Claimant Lawyers(s): Jeffrey W. Herrmann
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Robert E. Anderson, S. Charles Tabak, Stanley David Goldman
Hearing Site: Newark, NJ
| | Expungement |
| 11-04455 | 06/25/2013 | Claimant(s): Robert Stolte
Claimant Lawyers(s): Alan L. Frank
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Alan Shaw, S. Charles Tabak, Ronald J. Colombo
Hearing Site: Newark, NJ
| | Expungement |
| 11-02971 | 12/11/2012 | Claimant(s): David Baratko
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Meredith Sharoky
Arbitrator(s): William E. Smith, Timothy J. Brown, S. Charles Tabak
Hearing Site: Newark, NJ
| | Expungement |
| 11-02361 | 02/03/2012 | Claimant(s): Richard Kerian
Claimant Lawyers(s): David E. Robbins
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Walter A. Kapuscinski, Louis H. Miron, S. Charles Tabak
Hearing Site: Newark, NJ
| | Expungement |
| 10-04453 | 01/17/2012 | Claimant(s): Francis Lo Bosco
Claimant Lawyers(s): Steven Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Blackrock Investments
Respondent Lawyers(s): John C. Kelly
Arbitrator(s): Marilyn Chin, S. Charles Tabak, David Dixon Green
Hearing Site: Newark, NJ
| | $0 |
| 10-04783 | 12/19/2011 | Claimant(s): Est. of Percival H.E. Leach by Gregory G
Claimant Lawyers(s): Christopher E. Torkelson
Respondent(s): E. du Pont, Morgan Stanley
Respondent Lawyers(s): Alissa Pyrich, Joseph L. Calabrese
Arbitrator(s): Linda T. Pellegrino, Philip Rachmelowitz, S. Charles Tabak
Hearing Site: Newark, NJ
| | $48,000 |
| 09-03902 | 03/24/2011 | Claimant(s): Bridget Crudo, Eva Crudo
Claimant Lawyers(s): Eva Crudo
Respondent(s): Paula Branum, Robyn O'Hara, Regal Securities.
Respondent Lawyers(s): Gina Bokios, Paula Deanna Branum, Robyn Lynn O'Hara
Arbitrator(s): John R. Pepe, S. Charles Tabak, Martin R. Cramer
Hearing Site: Newark, NJ
| | $159,120 |
