| 11-02334 | 06/09/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Brian McCafferty
Respondent Lawyers(s): Dan Druz
Arbitrator(s): Alan Shaw, Edith M. Novack, David Morris Weiss
Hearing Site: Newark, NJ
| | |
| 14-00358 | 09/30/2014 | Claimant(s): Keith Steidle
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): Obsidian Financial Group
Respondent Lawyers(s): Kevin Sharma
Arbitrator(s): Joan M. Traub, Alan Funk, David Morris Weiss
Hearing Site: Newark, NJ
| | |
| 11-00527 | 04/16/2013 | Claimant(s): James Ortenzio
Claimant Lawyers(s): John D. Singer
Respondent(s): Metlife Securities Inc.
Respondent Lawyers(s): Joseph C. O'Keefe
Arbitrator(s): Dwight Wassong, Linda J. Baer, David Morris Weiss
Hearing Site: Newark, NJ
| | |
| 11-02948 | 03/25/2013 | Claimant(s): Alfano Children Limited Partnership, The Alfano Family Charitable Foundation
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy Bard
Arbitrator(s): Dwight Wassong, Stuart S. Berman, David Morris Weiss
Hearing Site: Newark, NJ
|  | Expungement |
