| 15-00493 | 04/07/2017 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): Michael Jarmolowich
Respondent Lawyers(s): Michael Jarmolowich
Arbitrator(s): Bernard M. Levine
Hearing Site: New York, NY
| | |
| 13-03332 | 10/16/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David Schmidt
Respondent(s): David Seigerman
Respondent Lawyers(s): David A. Seigerman
Arbitrator(s): Bernard M. Levine, Ariel Berschadsky, Roland E. Wyatt
Hearing Site: Newark, NJ
| | |
| 14-02777 | 10/02/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Alan Blecker
Respondent Lawyers(s): Brian J. Neville
Arbitrator(s): Bernard M. Levine
Hearing Site: Newark, NJ
| | |
| 13-00518 | 01/26/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): David Hanford, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James A. Saville, Louis M. Lagalante
Arbitrator(s): Bernard M. Levine, Michael L. Moran, David J. Weisenfeld
Hearing Site: New York, NY
| | |
| 12-01883 | 11/19/2014 | Claimant(s): Anthony Locantore
Claimant Lawyers(s): Douglas J. Kinz
Respondent(s): SII Investments.
Respondent Lawyers(s): Roblyn Silvermintz
Arbitrator(s): Ellen R. Badinelli, Bernard M. Levine, Joseph Michael Dougherty
Hearing Site: Newark, NJ
| | |
| 14-00713 | 09/17/2014 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): John Stenson
Respondent(s): Michael Odonohue
Respondent Lawyers(s): Michael Odonohue
Arbitrator(s): Bernard M. Levine
Hearing Site: New York, NY
| | |
| 12-01806 | 06/25/2014 | Claimant(s): Frank J. Ferruggia IRA, Virginia A. Ferruggia, IRA, Frank J. and Virginia A. Ferruggia, JNT
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): Alan Chodosh, Craig Nomberg, David Lerner Associates., David Lerner, John Dempsey, Martin Lerner, Martin Walcoe, Steven Sormani
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Bernard M. Levine, Michael A. Ruderman, Richard Lewis Zack
Hearing Site: Newark, NJ
|  | $260,000 |
| 13-01652 | 06/24/2014 | Claimant(s): Sergio Zanini
Claimant Lawyers(s): Sherry M. Shore
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Bernard M. Levine, Stephen J. Patti, Michael Jaffe
Hearing Site: New York, NY
| | |
| 13-01359 | 04/10/2014 | Claimant(s): John F. & Tracy Stora Mayo-Smith
Claimant Lawyers(s): John F. Mayo-Smith
Respondent(s): Elizabeth Costa, Ronaldo Medalla, Stephen Tripp, William Aristizabal, Fidelity Brokerage Services
Respondent Lawyers(s): John Starnes
Arbitrator(s): Bernard M. Levine
Hearing Site: New York, NY
| | $18,000 |
| 12-04358 | 03/10/2014 | Claimant(s): Eugenie Scarito
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Bernard M. Levine, Linda J. Baer, Stephen L. Lister
Hearing Site: Newark, NJ
| | Expungement |
