| 10-04453 | 01/17/2012 | Claimant(s): Francis Lo Bosco
Claimant Lawyers(s): Steven Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Blackrock Investments
Respondent Lawyers(s): John C. Kelly
Arbitrator(s): Marilyn Chin, S. Charles Tabak, David Dixon Green
Hearing Site: Newark, NJ
|  | $0 |
| 11-00437 | 01/04/2012 | Claimant(s): Mark Stepper
Claimant Lawyers(s): Michael H. Klein
Respondent(s): Barry Zuckerberg, Wells Fargo Advisors, Michael Tuozzoli, Paul Sheldon
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | Expungement |
| 11-02556 | 12/30/2011 | Claimant(s): Jose Zardoya
Claimant Lawyers(s): Jose Zardoya
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Daniel J. McCarthy
Hearing Site: Newark, NJ
| | $0 |
| 11-01164 | 12/23/2011 | Claimant(s): Michael Weiss
Claimant Lawyers(s): Michael Weiss
Respondent(s): Keith Steidle, Nationwide Planning Associates Inc.
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): B. David Jarashow, Margaret Leggett Tarver, David Marcus
Hearing Site: Newark, NJ
| | Expungement |
| 10-04783 | 12/19/2011 | Claimant(s): Est. of Percival H.E. Leach by Gregory G
Claimant Lawyers(s): Christopher E. Torkelson
Respondent(s): E. du Pont, Morgan Stanley
Respondent Lawyers(s): Alissa Pyrich, Joseph L. Calabrese
Arbitrator(s): Linda T. Pellegrino, Philip Rachmelowitz, S. Charles Tabak
Hearing Site: Newark, NJ
| | $48,000 |
| 10-00922 | 12/19/2011 | Claimant(s): Nanik Panjwani
Claimant Lawyers(s): James C. Jones
Respondent(s): Scott Wetherby, PNC Investments
Respondent Lawyers(s): Benjamin E. Widener
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | $0 |
| 09-06175 | 12/16/2011 | Claimant(s): Estelle Gangi, William Gangi, William and Estelle Gangi Irrev. Trust
Claimant Lawyers(s): Peter S. Pearlman
Respondent(s): Brian Purpura, J.P. Morgan Clearing Corp., J.P. Morgan Securities, Scott Siegel
Respondent Lawyers(s): David B. Wechsler, Timothy E. Di Domenico
Arbitrator(s): Linda T. Pellegrino, Dwight Wassong, Scott M. Pellegrino
Hearing Site: Newark, NJ
| | $0 |
| 10-05264 | 12/16/2011 | Claimant(s): Mario Conforti
Claimant Lawyers(s): Mark J. Brancato
Respondent(s): Anthony Locascio, FSC Securities Corporation
Respondent Lawyers(s): Justin I. Sacca, Robyn Silvermintz
Arbitrator(s): Jerry P. DeNigris, Alan Shaw, Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | $0 |
| 10-02737 | 12/14/2011 | Claimant(s): Estate of Dr. Paul Tanner
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): Oppenheimer & Co.., Kedrick Sackey
Respondent Lawyers(s): Ellen Sheridan Cona, Irwin Weltz
Arbitrator(s): Ronald Citron, Daniel P. Lund, Martin R. Cramer
Hearing Site: Newark, NJ
| | $0 |
| 11-01668 | 12/09/2011 | Claimant(s): Carol Cohen, Ronald Cohen
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Gregory Kwasnicki
Respondent Lawyers(s): Gregory Thomas Kwasnicki
Arbitrator(s): Abraham Harry Bunis
Hearing Site: Newark, NJ
| | $365,000 |
