| 19-00964 | 11/19/2019 | Claimant(s): Lee Tockman
Claimant Lawyers(s): Gordana Schifanelli
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jennifer G. Chawla
Arbitrator(s): Julian F. Santos, Sandralin J. Kiss, Lisa Diane Love
Hearing Site: Newark, NJ
| | |
| 15-02290 | 11/29/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Alex Perico
Respondent Lawyers(s): Alex G. Perico
Arbitrator(s): William E. Nuckel, Sandralin J. Kiss, Biagio A. Civale
Hearing Site: New York, NY
| | |
| 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 |
| 10-01073 | 10/20/2011 | Claimant(s): Charles Cerone
Claimant Lawyers(s): Joel N. Kreizman
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Bank of America, Banc of America Insurance Services
Respondent Lawyers(s): Karen P. Gaster
Arbitrator(s): Louis H. Miron, Sandralin J. Kiss, Barbara Weisman
Hearing Site: Newark, NJ
| | |
| 08-01321 | 12/04/2008 | Claimant(s): Fred Betman
Claimant Lawyers(s): Fred S. Betman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Cynthia H. Plishtin, Sandralin J. Kiss, Joseph H. Cerame
Hearing Site: Newark, NJ
| | $10,000 |
| 06-02002 | 08/12/2008 | Claimant(s): Juluru Rao
Claimant Lawyers(s): Kim Steven Juhase
Respondent(s): Mark Ketner, Investec Ernest & Company
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Sandralin J. Kiss, Renee S. Rothschild, Sharon A. McCloskey
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 07-00240 | 10/31/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Lawrence Scoloveno
Respondent Lawyers(s): Lawrence D. Scoloveno
Arbitrator(s): Sandralin J. Kiss, Virginia Kali Sourlis, Stanley M. Lenkowicz
Hearing Site: Newark, NJ
| | |
