| 11-02533 | 05/30/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): Michael Penkethman
Respondent Lawyers(s): Michael Penkethman
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
| | |
| 10-00074 | 12/27/2013 | Claimant(s): Susan Montanti
Claimant Lawyers(s): Emilia M. De Meo
Respondent(s): Obsidian Financial Group
Respondent Lawyers(s): Stephen Grivas
Arbitrator(s): Cynthia H. Plishtin, Joan M. Traub, Walter C. Parrish
Hearing Site: Newark, NJ
|  | Expungement |
| 11-04481 | 11/06/2013 | Claimant(s): Philip Evans
Claimant Lawyers(s): Phillip Evans
Respondent(s): Jeffrey Rachlin, Mark Kaplowitz, Alternative Wealth Strategies.
Respondent Lawyers(s): Jeffrey Rachlin, Louis H. Miron, Mark Kaplowitz
Arbitrator(s): Joan M. Traub, Ariel Berschadsky, Paul G. Garjian
Hearing Site: Newark, NJ
| | $135,000 |
| 11-03824 | 06/14/2013 | Claimant(s): Robyn Zivic
Claimant Lawyers(s): Jonathan Rogin
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Patrick W. Shea
Arbitrator(s): Joan M. Traub, Judith P. Brooks, Gregory J. Getz
Hearing Site: New York, NY
| | |
| 12-01044 | 03/25/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jason Warner
Respondent(s): Robert Potter
Respondent Lawyers(s): Sanna-Rae Taylor
Arbitrator(s): Joan M. Traub, Richard J. Lawrence, James Wilmer Barlow
Hearing Site: Salt Lake City, UT
| | |
| 12-02863 | 12/28/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Thomas Laughlin
Respondent Lawyers(s): Thomas Joseph Laughlin
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
| | |
| 11-02431 | 12/20/2012 | Claimant(s): Irvin Welch
Claimant Lawyers(s): Jan Graham
Respondent(s): Wachovia Securities, Dwayne Alpers, Louis Navellier
Respondent Lawyers(s): Joseph E. Floren, Philip A. McLeod
Arbitrator(s): George J. Karlsven, Joan M. Traub, Michael G. Clark
Hearing Site: Salt Lake City, UT
| | Expungement |
| 12-02207 | 12/14/2012 | Claimant(s): Jon Voigtman
Claimant Lawyers(s): Jon E. Voigtman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Colleen A. Hankins
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
| | $227 |
| 10-00998 | 10/04/2012 | Claimant(s): Mark Conklin, The Conklin Corporation
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Lloyd Clareman
Arbitrator(s): Joan M. Traub, Laura H. Goldzung, Linda J. Baer
Hearing Site: Newark, NJ
| | Expungement |
| 10-04784 | 07/03/2012 | Claimant(s): Stavros Oscar Cid and Teresa Cid JTWROS, Teresa Cid JTWROS
Claimant Lawyers(s): Robert Giusti
Respondent(s): Citigroup Global Markets., John Abadiotakis
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Joan M. Traub, Steven A. Infante, Benjamin L. Anderson
Hearing Site: New York, NY
| | $0 |
