| 12-01722 | 11/30/2012 | Claimant(s): George Heise, Janelle Heise
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Nancy Ziering
Respondent Lawyers(s): Nancy Robyn Ziering
Arbitrator(s): Richard D. DeVita
Hearing Site: Newark, NJ
|  | $15,705 |
| 11-00260 | 10/16/2012 | Claimant(s): Jill Goldman, The Goldman Family 2007 Irrev. Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Hugh Wallschleger, R. Seelaus & Co..
Respondent Lawyers(s): David W. Schmidt
Arbitrator(s): Michael Fischetti, Robert E. Anderson, Sherrill Ruth Austin
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 10-00998 | 10/04/2012 | Claimant(s): Mark Conklin, The Conklin Corporation
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Lloyd Clareman
Arbitrator(s): Joan M. Traub, Laura H. Goldzung, Linda J. Baer
Hearing Site: Newark, NJ
| | Expungement |
| 11-01327 | 09/24/2012 | Claimant(s): Lisa Mazzone, Alexandra Mazzone UGMA, Nicholas A. Mazzone UGMA
Claimant Lawyers(s): Alan L Frank
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew Park
Arbitrator(s): Louis H. Miron, John R. Buehler, Felicia T. Farber
Hearing Site: Newark, NJ
| | Expungement |
| 11-00892 | 09/19/2012 | Claimant(s): Dharmendra Patel and Saroj Patel
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Linda T. Pellegrino
Hearing Site: Newark, NJ
| | Expungement |
| 11-03325 | 09/14/2012 | Claimant(s): Heidi Fritsch-Gil
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Carrie L. Chelko
Arbitrator(s): Abraham Harry Bunis
Hearing Site: Newark, NJ
| | Expungement |
| 11-01514 | 08/21/2012 | Claimant(s): James Skidmore, Peggy Skidmore
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): J.P. Morgan Securities Inc.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Craig Scott Bartlett, Edith M. Novack, Paul Allan Massaro
Hearing Site: Newark, NJ
| | $0 |
| 08-04033 | 07/25/2012 | Claimant(s): Iris Chin, Ken Chin
Claimant Lawyers(s): Ken K. Chin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): R. Matthew Ingraham
Arbitrator(s): Alan James Jacoby, Charles L. Prothero, Richard C. Antonelli
Hearing Site: Newark, NJ
| | $0 |
| 10-05380 | 06/28/2012 | Claimant(s): Deborah Charles
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): B. David Jarashow, Gerald Joseph Coughlin, Robert E. Anderson
Hearing Site: Newark, NJ
| | Expungement |
| 11-02949 | 06/08/2012 | Claimant(s): Barbara North
Claimant Lawyers(s): Barbara R North
Respondent(s): James Flynn, Morgan Stanley
Respondent Lawyers(s): James F. Flynn, Thomas Briody
Arbitrator(s): Fred S. Pieroni
Hearing Site: Newark, NJ
| | $0 |
