| 06-03226 | 11/15/2007 | Claimant(s): Alisa Gabriel
Claimant Lawyers(s): Bruce E. Baldinger
Respondent(s): John Arena, Fidelity Brokerage Services LLC, Fidelity Investment Co., Fidelity Service Company., Strategic Advisors.
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Sheldon M. Finkelstein, C. Anthony Bell, Joseph H. Cerame
Hearing Site: Newark, NJ
|  | $0 |
| 06-05211 | 11/06/2007 | Claimant(s): Joan Lair
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Clifford A. Harwick, Robert J. McDonnell, Robert T. Costello
Hearing Site: Newark, NJ
| | $0 |
| 07-00346 | 10/22/2007 | Claimant(s): Robert Gloor
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): Louis Mancinelli, Wayne Schultz, Your Money Matters Brokerage Services
Respondent Lawyers(s): Louis N. Mancinelli, Wayne A. Schultz, Wayne Schultz
Arbitrator(s): Seymour E. Hollander
Hearing Site: Newark, NJ
| | $26,994 |
| 06-03638 | 10/12/2007 | Claimant(s): Sondra and Solomon Roseman
Claimant Lawyers(s): Louis M. Barbone
Respondent(s): Daniel Butler, Raymond James Financial Services.
Respondent Lawyers(s): Joseph L. Larrinaga
Arbitrator(s): Linda T. Pellegrino, Chris P. Drucker, Dwight Wassong
Hearing Site: Newark, NJ
| | $0 |
| 04-07111 | 10/10/2007 | Claimant(s): Michael Distefano
Claimant Lawyers(s): Brian J. Neville
Respondent(s): David Chepauskas, Summit Equities.
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Harry D. Frisch, Anthony P. Connolly, Joseph F. Kelley
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 04-00577 | 09/25/2007 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Carolyn Cohen, Larry Rothenberg, Merrill Lynch Pierce Fenner & Smith Inc., MLFPS Cust FPO Lee Container & Paper, Testamentary Trust U/W of Henry Cohen
Respondent Lawyers(s): John C. Kelly, Patrick J. Monaghan
Arbitrator(s): Richard S. Peskin, Alfred Fingerman, Demetrio S. Timban
Hearing Site: Newark, NJ
| | $0 |
| 06-04764 | 08/03/2007 | Claimant(s): Francis Wanat
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): Joseph Barile, Essex and York.
Respondent Lawyers(s): Joseph R. Barile
Arbitrator(s): Charles L. Prothero
Hearing Site: Newark, NJ
| | $90,000 |
