| 09-00951 | 02/14/2013 | Claimant(s): Associated Humane Societies.
Claimant Lawyers(s): Colleen Flynn Cyphers
Respondent(s): Bruce Barth, Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Trust Co.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Alan Shaw, Nathan J. Minucci, Mia Scanga
Hearing Site: Newark, NJ
|  | $294,480 |
| 11-01063 | 02/11/2013 | Claimant(s): Wexco Industries
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Christina R. Ryfa
Arbitrator(s): Alan Shaw, Barbara Weisman, Neal D. Baker
Hearing Site: Newark, NJ
| | Expungement |
| 12-02231 | 02/08/2013 | Claimant(s): Dina Nogueira, Ricardo Nogueira
Claimant Lawyers(s): Ricardo Nogueira
Respondent(s): Ameriprise Financial Services., Michael Gould
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Julian F. Santos
Hearing Site: Newark, NJ
| | $213 |
| 11-03939 | 01/17/2013 | Claimant(s): Sylvia Nachtigall
Claimant Lawyers(s): Barry E Janay
Respondent(s): Christopher Cerniglia, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Micalyn S. Harris, Leslie Ruth Nydick, Brian J. Strum
Hearing Site: Newark, NJ
| | Expungement |
| 11-04564 | 01/03/2013 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Ross D. Carmel
Respondent(s): Lynn Guzek, Thomas Guzek
Respondent Lawyers(s): Lynn Kristen Guzek, Thomas John Guzek
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | $0 |
| 12-00515 | 12/27/2012 | Claimant(s): Joel Steinman
Claimant Lawyers(s): Joel Steinman
Respondent(s): Wells Fargo Advisors, SunAmerica Annuity and Life Insurance Co
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | $15,786 |
| 12-02207 | 12/14/2012 | Claimant(s): Jon Voigtman
Claimant Lawyers(s): Jon E. Voigtman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Colleen A. Hankins
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
| | $227 |
| 11-02710 | 12/11/2012 | Claimant(s): Rebecca Ann Storniolo-Co-Trustee & Benef
Claimant Lawyers(s): George L. Mahr
Respondent(s): Bruce Fadem, Dennis Stanek, Glenn Montgomery, RBC Dain Rauscher.
Respondent Lawyers(s): Sandra D. Grannum, Thomas D. Flinn
Arbitrator(s): Kip C. Lubcke, Morton S. Bunis, Jodi A. Hopkinson
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 |
| 11-04729 | 12/10/2012 | Claimant(s): David Holtzman and Susan Holtzman
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea Morgan Greene
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | Expungement |
