| 18-03769 | 12/06/2019 | Claimant(s): Paul Houle
Claimant Lawyers(s): Lars Soreide
Respondent(s): IBN Financial Services.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Newark, NJ
|  | Dismissed by Rule 12206/12504 |
| 17-03381 | 11/19/2019 | Claimant(s): J. Kirby Fowler, Patrica Fowler, J. Kirby & Patricia O. Fowler Irr. Trust
Claimant Lawyers(s): Michael W. Starr
Respondent(s): John McGinty, AXA Advisors
Respondent Lawyers(s): Cheryl Howard, Dennis Dice
Arbitrator(s): James M. Rhodes, Bryan David Glass
Hearing Site: Newark, NJ
| | $0 |
| 18-03753 | 10/29/2019 | Claimant(s): Ann Marie Gallagher
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | $8,100 |
| 19-01011 | 09/30/2019 | Claimant(s): Jeffrey Foster, Joyce Foster
Claimant Lawyers(s): David M. White
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery Rodgers
Arbitrator(s): Robert J. McDonnell
Hearing Site: Newark, NJ
| | $4,617 |
| 18-01175 | 09/09/2019 | Claimant(s): Cary Grill
Claimant Lawyers(s): Cary Gill
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Fred S. Pieroni, Robert R. Salman, Sidney Seligman
Hearing Site: Newark, NJ
| | Settlement |
| 17-01681 | 08/09/2019 | Claimant(s): The Joseph Conti Revocable Trust
Claimant Lawyers(s): Jared A. Levy
Respondent(s): Erik Pica, Joseph Stone Capital L.L.C.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Emily Diamond, Veronica Ann Williams, Loretta Yin
Hearing Site: Newark, NJ
| | $10,000 |
| 18-03581 | 08/05/2019 | Claimant(s): Morgan Stanley, Joseph Goscienski
Claimant Lawyers(s): Heather B. Middleton
Respondent(s): Kamel Kazan
Respondent Lawyers(s): Kamel Kazan
Arbitrator(s): Fred S. Pieroni, Robert E. Anderson, Carl Mario Martorano
Hearing Site: Newark, NJ
| | Expungement |
| 18-03729 | 06/20/2019 | Claimant(s): Dulcita Segal, Focus For Health Foundation
Claimant Lawyers(s): Barry Segal
Respondent(s): Alexander Aiello, Wells Fargo Advisors
Respondent Lawyers(s): Jeffery Rodgers
Arbitrator(s): Michael Fischetti
Hearing Site: Newark, NJ
| | Expungement |
| 18-02161 | 06/05/2019 | Claimant(s): Peter Calderon
Claimant Lawyers(s): Peter J. Calderon
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
| | $0 |
| 16-02890 | 06/04/2019 | Claimant(s): John Cottam
Claimant Lawyers(s): Derrelle Janey
Respondent(s): Alexander Kibrik, Global Emerging Capital Group
Respondent Lawyers(s): Alexander Kibrik, Claudette Burgess Gay
Arbitrator(s): Catherine Stewart, Peter L. Michaelson, Joseph Michael Dougherty
Hearing Site: Newark, NJ
| | Dismissed by Rule 12212(c) |
