| 20-01526 | 06/25/2021 | Claimant(s): William Nelms
Claimant Lawyers(s): Lars Soreide
Respondent(s): Brian DiBrino, American Portfolios Financial Srvs.
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): James M. Baumann, Robert R. Salman, Edith M. Novack
Hearing Site: Jersey City, NJ
|  | Expungement |
| 17-01958 | 04/19/2018 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Barry Connell
Respondent Lawyers(s): Barry Franklin Connell
Arbitrator(s): James M. Baumann, Efren Cleofe, Joseph H. Cerame
Hearing Site: Newark, NJ
| | |
| 10-05704 | 11/03/2015 | Claimant(s): Rajyalakshmi Ramachandran, Viswanathan Ramachandran
Claimant Lawyers(s): Viswanathan Ramachandran
Respondent(s): Judy Wee, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kiki L. Taylor
Arbitrator(s): James M. Baumann, Christine Costigan, Leona Beane
Hearing Site: New York, NY
| | $0 |
| 12-01516 | 12/04/2014 | Claimant(s): Justin Mirro
Claimant Lawyers(s): David I. Greenberger
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Michael Delikat
Arbitrator(s): James M. Baumann, Leah R. Marks, Michael S. Perinelli
Hearing Site: New York, NY
| | |
| 11-01924 | 05/06/2014 | Claimant(s): Matthew Reynolds
Claimant Lawyers(s): Craig Riha
Respondent(s): Olympia Asset Management,LTD.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): David F. Greenberg, James M. Baumann, Martin A. Edelstein
Hearing Site: New York, NY
| | |
| 10-04927 | 02/13/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Daniel Kole
Respondent Lawyers(s): Kimberly A. Capadona
Arbitrator(s): James M. Baumann, Jacob Aschkenasy, Leo J. Karwejna
Hearing Site: Newark, NJ
| | |
| 11-00709 | 08/23/2012 | Claimant(s): David Berman
Claimant Lawyers(s): David E. Robbins
Respondent(s): Christian Coluccio, Gregg Zeoli, Richard Cardinale, Empire Asset Management Company
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): James M. Baumann, Caryl D. Feldmann, Philip Florio
Hearing Site: New York, NY
| | $0 |
| 11-00571 | 05/04/2012 | Claimant(s): Dennis Herman
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Cheryl Black, Harold Eylward, J.P. Morgan Securities
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Edward Baer, James M. Baumann, Ann C. Northern
Hearing Site: New York, NY
| | $0 |
| 09-02278 | 07/01/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Anthony Orefice
Respondent Lawyers(s): Robert D. Kraus
Arbitrator(s): James M. Baumann, Patrick J. Howley, Edward W. Morris
Hearing Site: New York, NY
| | |
| 09-03222 | 06/28/2011 | Claimant(s): Doris Cacace
Claimant Lawyers(s): Nicholas J. Taldone
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J Zaretsky
Arbitrator(s): James M. Baumann, Charles L. Prothero, Nathan J. Minucci
Hearing Site: Newark, NJ
| | Expungement |
