| 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 |
| 11-04795 | 06/25/2013 | Claimant(s): Miguel Damien
Claimant Lawyers(s): Mark D. Miller
Respondent(s): Wells Fargo Advisors, Zakkour Chivi
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Abraham Harry Bunis, Robert W. Kenter, Louis P. Wagman
Hearing Site: Newark, NJ
| | $0 |
| 12-00392 | 05/29/2013 | Claimant(s): Snow Chu
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina P. Martorana
Arbitrator(s): Kenneth J. Horowitz, Joseph H. Cerame, Peter A. Kiefer
Hearing Site: Newark, NJ
| | Expungement |
| 12-01701 | 05/22/2013 | Claimant(s): Gladys Cheringal
Claimant Lawyers(s): David P. Meyer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Charles L. Prothero, Bernard M. Levine, Bryan David Glass
Hearing Site: Newark, NJ
| | Expungement |
| 12-02710 | 05/17/2013 | Claimant(s): Gabriel and Mary T. Frangione JTTENROS
Claimant Lawyers(s): Gabriel Frangione
Respondent(s): Edward Buecker, RBC Capital Markets LLC
Respondent Lawyers(s): Patrick J. Howley
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | $15,274 |
| 12-03567 | 04/24/2013 | Claimant(s): Barbara Tunis
Claimant Lawyers(s): Barbara Tunis
Respondent(s): Ellen Sayegh, Ronald Barsa
Respondent Lawyers(s): Ellen Margaret Sayegh, Ronald Elias Barsa
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | $163 |
| 09-07084 | 04/09/2013 | Claimant(s): Carol Cohen, Ronald Cohen
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Jeffrey Rachlin, Alternative Wealth Strategies.
Respondent Lawyers(s): James C. Gaul, Jeffrey Rachlin
Arbitrator(s): Jeffrey Steinberg, Abraham Harry Bunis, Linda J. Baer
Hearing Site: Newark, NJ
| | Stipulated Award |
| 11-02948 | 03/25/2013 | Claimant(s): Alfano Children Limited Partnership, The Alfano Family Charitable Foundation
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy Bard
Arbitrator(s): Dwight Wassong, Stuart S. Berman, David Morris Weiss
Hearing Site: Newark, NJ
| | Expungement |
| 12-00738 | 03/12/2013 | Claimant(s): Constantine A. Makris and Suzanne Makris
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregg Garneau
Arbitrator(s): Edward W. Morris, Richard C. Antonelli, Sherrill Ruth Austin
Hearing Site: Newark, NJ
| | Expungement |
| 12-01719 | 03/04/2013 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Mark Cuccaro
Respondent(s): Gerald Gregor
Respondent Lawyers(s): Gerald J. Gregor
Arbitrator(s): Sam Antar
Hearing Site: Newark, NJ
| | $0 |
