| 10-03335 | 05/31/2012 | Claimant(s): Lionel Winograd
Claimant Lawyers(s): Lionel Winograd
Respondent(s): David Powers, Citigroup Global Markets., Lisa Brandes
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Sheldon M. Finkelstein, Donald C. Geiszler, Edith M. Novack
Hearing Site: Newark, NJ
|  | $0 |
| 11-03123 | 05/24/2012 | Claimant(s): Ann Kautzmann
Claimant Lawyers(s): Ann Kautzmann
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Alan Shaw
Hearing Site: Newark, NJ
| | $0 |
| 10-05616 | 05/15/2012 | Claimant(s): Susan Blickman
Claimant Lawyers(s): John Daniels
Respondent(s): Wells Fargo Advisors, John Compton
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Linda T. Pellegrino, Alan Shaw, Sandralin J. Kiss
Hearing Site: Newark, NJ
| | Expungement |
| 10-05584 | 05/10/2012 | Claimant(s): Louis Najdzin
Claimant Lawyers(s): Peter Nichols
Respondent(s): E*Trade Securities LLC, William Velthaus
Respondent Lawyers(s): John Bersin
Arbitrator(s): Ronald Citron, Alan Shaw, Bernard M. Levine
Hearing Site: Newark, NJ
| | Expungement |
| 10-04215 | 05/08/2012 | Claimant(s): Congregation Bais Yisroel.
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Christian T Kemnitz
Arbitrator(s): Walter A. Kapuscinski, Louis H. Miron, Kip C. Lubcke
Hearing Site: Newark, NJ
| | $0 |
| 11-00681 | 04/26/2012 | Claimant(s): Beth Turkel
Claimant Lawyers(s): Richard De Vita
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David G. Buffa
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | Expungement |
| 10-02584 | 04/25/2012 | Claimant(s): Karabi Sinha
Claimant Lawyers(s): Barry R. Lax
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Cynthia H. Plishtin, Robert E. Anderson, Joan Marie Chiusano
Hearing Site: Newark, NJ
| | $154,479 |
| 10-05817 | 04/13/2012 | Claimant(s): Agnes Ruymen, Estate of Roy Ruymen, Roy Ruymen's Retirement Accounts & Plans
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Tom Briody
Arbitrator(s): Louis H. Miron, William R.H. Martin, Louis P. Wagman
Hearing Site: Newark, NJ
| | Expungement |
| 10-04410 | 04/11/2012 | Claimant(s): Alice Jones, Gay Jones, Graham Jones, Graham Jones Familiy Trust f/b/o, Graham Jones Family Trust f/b/o, Graham O. Jones Charitable Remainder Tst
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): Carl Bronstein, Harry Friedman, Prestige Financial Center., Sloan Securities Corp.
Respondent Lawyers(s): E. Gina Chase, Harry Friedman, Larry Kirshbaum, Paul A. Lieberman
Arbitrator(s): S. Charles Tabak, Brian Anthony Simmons, David Lu
Hearing Site: Newark, NJ
| | $4,140,200 |
| 11-02361 | 02/03/2012 | Claimant(s): Richard Kerian
Claimant Lawyers(s): David E. Robbins
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Walter A. Kapuscinski, Louis H. Miron, S. Charles Tabak
Hearing Site: Newark, NJ
| | Expungement |
