| 10-00429 | 10/29/2010 | Claimant(s): Estate of Steven Harris
Claimant Lawyers(s): Michael J. Sullivan
Respondent(s): J. B. Hanauer & Co., RBC Capital Markets LLC
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Edith M. Novack, Douglas S. Abel, Roland E. Wyatt
Hearing Site: Newark, NJ
| | |
| 09-02154 | 08/09/2010 | Claimant(s): Beverly Goldfarb, Herbert Goldfarb
Claimant Lawyers(s): Brian H. Reis
Respondent(s): Peter Gelwarg, Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Edith M. Novack, Walter C. Parrish, Morton S. Bunis
Hearing Site: Newark, NJ
|  | $0 |
| 09-06726 | 07/15/2010 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Barry R. Temkin
Respondent(s): Sharon Hubberman
Respondent Lawyers(s): Sharon D. Hubberman
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | |
| 09-04981 | 03/31/2010 | Claimant(s): Carol Kroptavich, Ronald Kroptavich, IRA FBO Ronald Kroptavich
Claimant Lawyers(s): John McGovern
Respondent(s): Ronald Paull
Respondent Lawyers(s): Dianna D. McCarthy
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | $10,213 |
| 08-02101 | 03/10/2010 | Claimant(s): Michael Keleher
Claimant Lawyers(s): Saul Roffe
Respondent(s): Christian Wagner, Richard Patrick, ING Financial Partners.
Respondent Lawyers(s): Luigi Spadafora, Paula D. Shaffner, Richard Vincent Patrick
Arbitrator(s): Edward L. Levine, Edith M. Novack, Dawn Suzanne Simon Talbot
Hearing Site: Newark, NJ
| | |
| 08-04065 | 01/13/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Steven Newman
Respondent Lawyers(s): Steven Arthur Newman
Arbitrator(s): Edith M. Novack, Simone A. Muscarnera, Jeffrey H. Rosenthal
Hearing Site: Newark, NJ
| | |
| 08-02659 | 08/03/2009 | Claimant(s): Wilfred Underwood
Claimant Lawyers(s): Wilfred J. Underwood
Respondent(s): Richard Brownstein, SII Investments.
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Arnold Limsky, Edith M. Novack, Thomas Anthony Brady
Hearing Site: Newark, NJ
| | $5,750 |
| 08-02311 | 04/07/2009 | Claimant(s): John Scott
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Myrtle Gilpin-Morgan
Respondent Lawyers(s): Myrtle J. Gilpin-Morgan
Arbitrator(s): C. Anthony Bell, Thomas M. Crawford, Edith M. Novack
Hearing Site: Newark, NJ
| | $145,540 |
| 06-04042 | 03/23/2009 | Claimant(s): Robert Traitz
Claimant Lawyers(s): James A. Batson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Audrey Y. Dupont
Arbitrator(s): Edith M. Novack, S. Charles Tabak, Phillip Benedetto
Hearing Site: Newark, NJ
| | |
| 08-00184 | 03/11/2009 | Claimant(s): George Wolfgang, Est. of George J. Wolgang by Linda Meyer
Claimant Lawyers(s): Peter S. Pearlman
Respondent(s): Leslie Shenkler
Respondent Lawyers(s): Leslie M. Greenspan
Arbitrator(s): Garrett J. Dombrowski, Anthony P. Connolly, Edith M. Novack
Hearing Site: Newark, NJ
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