| 12-01398 | 11/13/2013 | Claimant(s): Janet M. Di Palma
Claimant Lawyers(s): Carlos A. Di Palma
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Sheldon M. Finkelstein, Edith M. Novack, Miriam Lefkowitz
Hearing Site: Newark, NJ
|  | Expungement |
| 12-03708 | 10/15/2013 | Claimant(s): Sheryl Einsiedler
Claimant Lawyers(s): Robyne D. LaGrotta
Respondent(s): Royal Alliance Associates., Vincent Collaso
Respondent Lawyers(s): Steve F. Mellen
Arbitrator(s): Karimu F. Hill-Harvey, Edith M. Novack, Stewart E. Winner
Hearing Site: Newark, NJ
| | Expungement |
| 11-04729 | 12/10/2012 | Claimant(s): David Holtzman and Susan Holtzman
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea Morgan Greene
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | Expungement |
| 11-03630 | 11/15/2012 | Claimant(s): Philippe Allain
Claimant Lawyers(s): Rishi Bhandari
Respondent(s): Marcus Bolton, Tullett Prebon Financial Services LLC
Respondent Lawyers(s): Lisa Lewis
Arbitrator(s): Thomas Caiaffa, Edith M. Novack, Margaret Leggett Tarver
Hearing Site: Newark, NJ
| | |
| 11-01514 | 08/21/2012 | Claimant(s): James Skidmore, Peggy Skidmore
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): J.P. Morgan Securities Inc.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Craig Scott Bartlett, Edith M. Novack, Paul Allan Massaro
Hearing Site: Newark, NJ
| | $0 |
| 10-03335 | 05/31/2012 | Claimant(s): Lionel Winograd
Claimant Lawyers(s): Lionel Winograd
Respondent(s): David Powers, Citigroup Global Markets., Lisa Brandes
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Sheldon M. Finkelstein, Donald C. Geiszler, Edith M. Novack
Hearing Site: Newark, NJ
| | $0 |
| 11-00437 | 01/04/2012 | Claimant(s): Mark Stepper
Claimant Lawyers(s): Michael H. Klein
Respondent(s): Barry Zuckerberg, Wells Fargo Advisors, Michael Tuozzoli, Paul Sheldon
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | Expungement |
| 10-00860 | 11/17/2011 | Claimant(s): Christopher Puglisi
Claimant Lawyers(s): Phil Aidikoff
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Edith M. Novack, Margaret Leggett Tarver, Neal D. Baker
Hearing Site: Newark, NJ
| | $707,134 |
| 09-07172 | 09/16/2011 | Claimant(s): Mary Powers
Claimant Lawyers(s): Devanshu L. Modi
Respondent(s): Sean Hannon, Epic Advisors, L.L.C.
Respondent Lawyers(s): Sean Hannon
Arbitrator(s): Thomas M. Crawford, Nathan J. Minucci, Edith M. Novack
Hearing Site: Newark, NJ
| | $120,000 |
| 09-02638 | 01/03/2011 | Claimant(s): Dennis and Sandra Malanga, DESA Corp. Profit Sharing Plan
Claimant Lawyers(s): Dan A. Druz
Respondent(s): Charles Induddi, Pershing LLC, Lincoln Financial Securities
Respondent Lawyers(s): Jane Meyers, Janene M. Marasciullo
Arbitrator(s): Linda T. Pellegrino, Edith M. Novack, Joseph Michael Dougherty
Hearing Site: Newark, NJ
| | $43,750 |
