| 13-02157 | 03/19/2014 | Claimant(s): Xing Li
Claimant Lawyers(s): Xing Li
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Julian F. Santos
Hearing Site: Newark, NJ
|  | $11,326 |
| 13-00125 | 03/14/2014 | Claimant(s): Cheraldine Oliver, Joseph Mucerino, THE CHERALDINE OLIVER LIVING TRUST, THE JOSEPH MUCERNO LIVING TRUST
Claimant Lawyers(s): Devanshu L. Modi
Respondent(s): Citigroup Global Markets., Mark Lichtenfeld
Respondent Lawyers(s): Susan E. Mulholland
Arbitrator(s): Philip Levine, Kenneth J. Horowitz, Marilyn Chin
Hearing Site: Newark, NJ
| | Expungement |
| 12-04358 | 03/10/2014 | Claimant(s): Eugenie Scarito
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Bernard M. Levine, Linda J. Baer, Stephen L. Lister
Hearing Site: Newark, NJ
| | Expungement |
| 12-02032 | 03/03/2014 | Claimant(s): Daniel Baron
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Adam Riback, National Securities Corporation
Respondent Lawyers(s): Richard A. Roth
Arbitrator(s): Fred S. Pieroni, Barbara Weisman, Joan Marie Chiusano
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 13-00184 | 02/28/2014 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): Howard J. Kaplan
Respondent(s): Shan Nagendra
Respondent Lawyers(s): Douglas J. Kinz
Arbitrator(s): Walter A. Kapuscinski, Louis H. Miron, Morton S. Bunis
Hearing Site: Newark, NJ
| | $0 |
| 13-01802 | 02/20/2014 | Claimant(s): Stamberger Capital Management
Claimant Lawyers(s): Guy R. Stamberger
Respondent(s): Pershing Advisor Solutions LLC
Respondent Lawyers(s): Jane L. Myers
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | $0 |
| 11-02517 | 02/14/2014 | Claimant(s): Charles Lowden
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Anthony Ottimo, Nicholas Bentivegna, Richard Borgner, EKN Financial Services Inc.
Respondent Lawyers(s): Anthony Ottimo, Nicholas Bentivegna, Richard Reiss Borgner, Thomas Giugliano
Arbitrator(s): Julian F. Santos, Salvatore Saladini, Robert E. Anderson
Hearing Site: Newark, NJ
| | $100,000 |
| 13-02173 | 02/13/2014 | Claimant(s): Eric Stiskin, ES and Partners Trading LP
Claimant Lawyers(s): Eric S. Stiskin
Respondent(s): James Moschetto, John Mazzola, Thomas Gibb, Lightspeed Trading
Respondent Lawyers(s): Daryl M. Schumacher
Arbitrator(s): Stephen L. Lister
Hearing Site: Newark, NJ
| | $425 |
| 12-01627 | 01/23/2014 | Claimant(s): Jeffrey Sowles, Estate of Aune Sowles, Carleen Dunkle
Claimant Lawyers(s): Mark Cuker
Respondent(s): Henry Graham, Morgan Stanley, Lloyd Graham, The Graham Group
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Jacob Scherer, Bryan David Glass, Paul Allan Massaro
Hearing Site: Newark, NJ
| | $0 |
| 10-00074 | 12/27/2013 | Claimant(s): Susan Montanti
Claimant Lawyers(s): Emilia M. De Meo
Respondent(s): Obsidian Financial Group
Respondent Lawyers(s): Stephen Grivas
Arbitrator(s): Cynthia H. Plishtin, Joan M. Traub, Walter C. Parrish
Hearing Site: Newark, NJ
| | Expungement |
