| 23-01086 | 12/07/2023 | Claimant(s): Philip Arnheiter
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Morgan Stanley DW Inc., Wells Fargo Advisors Financial Network, Oppenheimer & Co..
Respondent Lawyers(s): Andrew Joyce, Deirdre Wolff, William H. Badinelli
Arbitrator(s): Kenneth J. Horowitz, Jeffrey Zuckerman, Robert Andrew Sollazzo
Hearing Site: Jersey City, NJ
| | |
| 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 |
| 21-02049 | 03/02/2022 | Claimant(s): Michael Piccolo
Claimant Lawyers(s): Brian Luther
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffrey D. Rodgers, Jr.
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Jersey City, NJ
| | |
| 18-03709 | 06/24/2019 | Claimant(s): Walter Kukowski
Claimant Lawyers(s): Robert Knuts
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 19-00598 | 06/03/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S Brodherson
Respondent(s): John Reynolds
Respondent Lawyers(s): John Stephen Reynolds
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 18-03522 | 03/07/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Keith Hollender
Respondent Lawyers(s): Keith David Hollender
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 18-02315 | 12/06/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Renan Sugarman
Respondent(s): Jeffrey Laboranti
Respondent Lawyers(s): Jeffrey Anthony Laboranti
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 17-03477 | 06/01/2018 | Claimant(s): Karen Kennedy
Claimant Lawyers(s): Karen A. Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | $213 |
| 17-02302 | 12/20/2017 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Stephen Wood
Respondent Lawyers(s): Stephen Douglas Wood
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 17-01802 | 11/01/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Barry Connell
Respondent Lawyers(s): Barry Franklin Connell
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
