| 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 |
| 12-04339 | 07/08/2014 | Claimant(s): Marilyn Cresswell, William Cresswell
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Paul Thomas
Arbitrator(s): Charles A. Crocco
Hearing Site: Newark, NJ
| | $0 |
| 12-01806 | 06/25/2014 | Claimant(s): Frank J. Ferruggia IRA, Virginia A. Ferruggia, IRA, Frank J. and Virginia A. Ferruggia, JNT
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): Alan Chodosh, Craig Nomberg, David Lerner Associates., David Lerner, John Dempsey, Martin Lerner, Martin Walcoe, Steven Sormani
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Bernard M. Levine, Michael A. Ruderman, Richard Lewis Zack
Hearing Site: Newark, NJ
| | $260,000 |
| 13-03027 | 06/17/2014 | Claimant(s): Albert Hoeflich, Edward Hoeflich, Eric Hoeflich, REB I
Claimant Lawyers(s): Daniel A. Bakondi, Robert L. Gonser
Respondent(s): Joral Schmalle, Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Susan Sangillo Bellifemine, Sam Antar, Sirena Terr
Hearing Site: Newark, NJ
| | Dismissed by Rule 12206 |
| 12-00699 | 06/11/2014 | Claimant(s): Edward C. Hope IRA by Marilyn Hope sole, Marilyn J. Hope IRA, Hope Irrevocable Grantor Trust by Barbar
Claimant Lawyers(s): William B. Young
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Susan George
Arbitrator(s): Robert E. Anderson, Emily Diamond, Felicia T. Farber
Hearing Site: Newark, NJ
| | Expungement |
| 12-00526 | 06/05/2014 | Claimant(s): Mark Newman
Claimant Lawyers(s): Philip J. Campisi
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Michael Fischetti
Hearing Site: Newark, NJ
| | Expungement |
| 12-03948 | 05/05/2014 | Claimant(s): Estate of Matteo Mosca
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Edith M. Novack, Linda J. Baer, Sherrill Ruth Austin
Hearing Site: Newark, NJ
| | Expungement |
| 13-01093 | 04/28/2014 | Claimant(s): James Cohen
Claimant Lawyers(s): James D. Cohen
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas Briody
Arbitrator(s): Julian F. Santos, Morton S. Bunis, Joseph H. Cerame
Hearing Site: Newark, NJ
| | $50,000 |
| 12-02409 | 03/27/2014 | Claimant(s): Wallace Truszkowski
Claimant Lawyers(s): Wallace Truszkowski
Respondent(s): Craig Escobar, Patrick Darby, Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky, Ross David Carmel
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | Expungement |
| 13-02201 | 03/26/2014 | Claimant(s): Joel Steinman
Claimant Lawyers(s): Joel Steinman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jill M. Del Monico
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | $0 |
