| 17-02703 | 04/08/2022 | Claimant(s): Richard Zane, Zane Family Trust U/A DTD 10/24/1997
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Anthony Duckworth, Glen Haddock
Respondent Lawyers(s): Gerard J. Kowalski
Arbitrator(s): Kip C Lubcke, Kenneth J. Horowitz, Stephen L. Lister
Hearing Site: Jersey City, NJ
|  | Expungement |
| 16-01792 | 08/20/2018 | Claimant(s): Camille Greco
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Israel Torres, Meyers Associates, L.P.
Respondent Lawyers(s): Israel Torres, John Stalanski
Arbitrator(s): Stephen L. Lister, Edward W. Morris, Bruce Edward Walenczyk
Hearing Site: Newark, NJ
| | $397,300 |
| 16-00315 | 05/26/2017 | Claimant(s): Steven Nerger
Claimant Lawyers(s): David Graff
Respondent(s): Kevin Willett, Oppenheimer & Co. Inc.
Respondent Lawyers(s): Donald Corbett
Arbitrator(s): Micalyn S. Harris, Simone A. Muscarnera, Stephen L. Lister
Hearing Site: Newark, NJ
| | $0 |
| 14-01373 | 06/02/2015 | Claimant(s): Jeffrey and Julie Mullen
Claimant Lawyers(s): Lance C. McCardle
Respondent(s): Gregory Jacobson, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Stephen L. Lister, S. Charles Tabak, Martin R. Cramer
Hearing Site: Newark, NJ
| | Expungement |
| 13-02757 | 01/15/2015 | Claimant(s): Theresa Jacobs
Claimant Lawyers(s): Howard Rosenfield
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): Louis H. Miron, Clifford A. Harwick, Stephen L. Lister
Hearing Site: Newark, NJ
| | Expungement |
| 12-04358 | 03/10/2014 | Claimant(s): Eugenie Scarito
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Bernard M. Levine, Linda J. Baer, Stephen L. Lister
Hearing Site: Newark, NJ
| | Expungement |
| 13-02173 | 02/13/2014 | Claimant(s): Eric Stiskin, ES and Partners Trading LP
Claimant Lawyers(s): Eric S. Stiskin
Respondent(s): James Moschetto, John Mazzola, Thomas Gibb, Lightspeed Trading
Respondent Lawyers(s): Daryl M. Schumacher
Arbitrator(s): Stephen L. Lister
Hearing Site: Newark, NJ
| | $425 |
| 09-03079 | 07/29/2010 | Claimant(s): Joseph Patane
Claimant Lawyers(s): Thomas A. Gentile
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mauricio S. Beugelmans
Arbitrator(s): C. Anthony Bell, Louis H. Miron, Stephen L. Lister
Hearing Site: Newark, NJ
| | $0 |
| 08-01224 | 07/29/2009 | Claimant(s): Victoria Kaufman
Claimant Lawyers(s): Stanislaus S. Mroczkowski
Respondent(s): UBS Financial Services Inc., Scott Rose
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jeffrey Steinberg, Abraham Harry Bunis, Stephen L. Lister
Hearing Site: New York, NY
| | $0 |
| 08-00086 | 06/30/2009 | Claimant(s): Peter Ramos and Karen Ramos
Claimant Lawyers(s): Peter S. Pearlman
Respondent(s): Genworth Financial Securities Corporatio
Respondent Lawyers(s): Richard D. De Vita
Arbitrator(s): Alan Shaw, Philip Rachmelowitz, Stephen L. Lister
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
