10-00154 | 05/14/2014 | Claimant(s): Richard Coale, Robert Hannam, Ronald White Claimant Lawyers(s): Daniel Marino Respondent(s): Christopher Dumont, Banc of America Investment Services Inc. Respondent Lawyers(s): Ronald P. Kane Arbitrator(s): Thomas Caiaffa, Julian F. Santos, Kenneth J. Horowitz Hearing Site: Newark, NJ
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12-01822 | 03/19/2014 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Harry D. Frisch Respondent(s): Kevin Saia Respondent Lawyers(s): Kevin Saia Arbitrator(s): Kenneth J. Horowitz, Gerald Joseph Coughlin, Jonathan Christian Byron Hearing Site: Newark, NJ
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13-00125 | 03/14/2014 | Claimant(s): Cheraldine Oliver, Joseph Mucerino, THE CHERALDINE OLIVER LIVING TRUST, THE JOSEPH MUCERNO LIVING TRUST Claimant Lawyers(s): Devanshu L. Modi Respondent(s): Citigroup Global Markets., Mark Lichtenfeld Respondent Lawyers(s): Susan E. Mulholland Arbitrator(s): Philip Levine, Kenneth J. Horowitz, Marilyn Chin Hearing Site: Newark, NJ
| | Expungement |
12-02421 | 10/31/2013 | Claimant(s): Susan Lark Claimant Lawyers(s): Marc J. Gross Respondent(s): Citigroup Global Markets., Renee Schwartz Respondent Lawyers(s): Alejandro Schwed Arbitrator(s): Simone A. Muscarnera, Kenneth J. Horowitz, Jeffrey Allen Held Hearing Site: Newark, NJ
| | Expungement |
12-02636 | 07/01/2013 | Claimant(s): Luke Atwell Claimant Lawyers(s): Luke A. Atwell Respondent(s): E*Trade Clearing LLC Respondent Lawyers(s): Meredith Felde Hoffman Arbitrator(s): Kenneth J. Horowitz Hearing Site: Newark, NJ
| | $0 |
13-00376 | 06/28/2013 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Archie Capinguian Respondent(s): John Donovan Respondent Lawyers(s): John P. Donovan Arbitrator(s): Kenneth J. Horowitz Hearing Site: Newark, NJ
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12-00392 | 05/29/2013 | Claimant(s): Snow Chu Claimant Lawyers(s): Edward H. Glenn Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Regina P. Martorana Arbitrator(s): Kenneth J. Horowitz, Joseph H. Cerame, Peter A. Kiefer Hearing Site: Newark, NJ
| | Expungement |
12-03998 | 05/23/2013 | Claimant(s): J.P. Turner & Company, L.L.C. Claimant Lawyers(s): Eric J. Dec Respondent(s): Nicholas D'amico Respondent Lawyers(s): Nicholas D'Amico Arbitrator(s): Kenneth J. Horowitz Hearing Site: Newark, NJ
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12-02535 | 02/06/2013 | Claimant(s): Morgan Stanley, Morgan Stanely Smith Barney FA Notes Hol Claimant Lawyers(s): David Lee Respondent(s): Donald Rasweiler Respondent Lawyers(s): Douglas Stone Arbitrator(s): Kenneth J. Horowitz Hearing Site: Newark, NJ
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12-00861 | 01/22/2013 | Claimant(s): Wells Fargo Securities Claimant Lawyers(s): Kenneth O'Connor Respondent(s): Robert Lavanco Respondent Lawyers(s): Robert John Lavanco Arbitrator(s): Kenneth J. Horowitz Hearing Site: Newark, NJ
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