| 11-04241 | 12/24/2013 | Claimant(s): James Cohen, Worldwide Media Services., Custodian for Alexander I. Cohen, Custodian for Jaclyn J. Cohen, Custodian for Justin J. Cohen, Custodian for Robert B. Cohen II, Robert B. Cohen Living Trust
Claimant Lawyers(s): William F. Dahill
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Dwight Wassong, Joan Dawn Hogarth, Stanley M. Lenkowicz
Hearing Site: Newark, NJ
|  | $0 |
| 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 |
| 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 |
| 10-02646 | 11/17/2011 | Claimant(s): Robert West
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Dwight Wassong
Hearing Site: New York, NY
| | $0 |
| 09-06320 | 10/31/2011 | Claimant(s): Estate of Margaret Cwirko
Claimant Lawyers(s): Robert Mahoney
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): John Castelly
Arbitrator(s): Dwight Wassong, Edward W. Morris, Joseph Christopher Rosa
Hearing Site: Newark, NJ
| | $241,344 |
| 09-06329 | 07/26/2011 | Claimant(s): Giovanni Savinovich
Claimant Lawyers(s): John A. Daniels
Respondent(s): Gordie Jamieson, John Lee, Banc of America Investment Services Inc.
Respondent Lawyers(s): John M. Lee, John Lukanski
Arbitrator(s): Dwight Wassong, Joseph H. Cerame, Richard V. Adams
Hearing Site: Newark, NJ
| | Expungement |
| 10-01582 | 09/20/2010 | Claimant(s): David Le Munyon
Claimant Lawyers(s): David S Le Munyon
Respondent(s): Wachovia Securities, Wells Fargo Advisors
Respondent Lawyers(s): Kenneth J. Turnbull, Patricia E. Cowart
Arbitrator(s): Dwight Wassong
Hearing Site: Newark, NJ
| | |
| 08-04827 | 09/20/2010 | Claimant(s): Laura Starnes, Michael Starnes, Michael Starnes Charitable Remainder TRT
Claimant Lawyers(s): Andrew P. Campbell
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn J. Bushby
Arbitrator(s): William M. Lacy, Thomas Michael Genovese, Elliott Zachary Seff, Robert William Berliner, Dwight Wassong, Austin Martin O'Toole
Hearing Site: Memphis, TN
| | $0 |
| 09-01920 | 07/02/2010 | Claimant(s): Mark Patterson
Claimant Lawyers(s): Lance J. Gotko
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): James M. Baumann, Rick F. Suppa, Dwight Wassong
Hearing Site: Newark, NJ
| | |
