| 07-00642 | 03/10/2015 | Claimant(s): Morgan Stanley DW Inc.
Claimant Lawyers(s): Phillip J. Campisi
Respondent(s): David Netkin
Respondent Lawyers(s): Joel M. Wertman
Arbitrator(s): Marvin Schleyer, Michael L.B. Kaplan, Robert Alan Mayer
Hearing Site: Newark, NJ
| | |
| 11-04612 | 08/15/2013 | Claimant(s): James Baldino, Tri-Con Construction Co. of New Jersey
Claimant Lawyers(s): Mark J. Astarita
Respondent(s): Richard Polo, Dunham & Associates Investment Counsel,, Genworth Financial Securities Corp.
Respondent Lawyers(s): Joel M. Wertman, Theodore C. Peters
Arbitrator(s): John A. Scudiero, Micalyn S. Harris, Theresa R. Joyner
Hearing Site: Newark, NJ
|  | $1,623,900 |
| 11-03927 | 05/29/2013 | Claimant(s): Linda Rupp, Russell Rupp
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joel M. Wertman
Arbitrator(s): Robert J. Buchner, Philip L. Manczak, Kenneth Herbert Mitchell
Hearing Site: Ft. Lauderdale, FL
| | $735,367 |
| 11-02856 | 01/31/2013 | Claimant(s): Phillip Korff
Claimant Lawyers(s): Eliot Goldstein
Respondent(s): The Investment Center.
Respondent Lawyers(s): Joel M. Wertman
Arbitrator(s): Mona Koppel Mitnick, Christopher M. McMurray, David Paul Clark
Hearing Site: Washington, DC
| | $0 |
