| 17-00289 | 06/14/2017 | Claimant(s): Kathleen Entwistle
Claimant Lawyers(s): David Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | |
| 16-00842 | 03/08/2017 | Claimant(s): Richard Davis
Claimant Lawyers(s): Ira M. Belsky
Respondent(s): Gregory Osborn, Axiom Capital Management.
Respondent Lawyers(s): Gregory Jerome Ptasienski Osborn, William F. Dahill
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
|  | $36,667 |
| 14-01486 | 01/06/2017 | Claimant(s): Renee Vanek
Claimant Lawyers(s): Margaret Peper
Respondent(s): Affinity Federal Credit Union, Affinity Investment Services
Respondent Lawyers(s): David E. Strand
Arbitrator(s): Louis H. Miron, Joan Marie Chiusano, Eric Moss Stein
Hearing Site: Newark, NJ
| | |
| 14-03401 | 06/17/2016 | Claimant(s): Marek Tchorzewski
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Louis H. Miron, Sherrill Ruth Austin, Jay Alan Kranis
Hearing Site: Newark, NJ
| | $27,927 |
| 14-02624 | 04/01/2016 | Claimant(s): International Fidelity Insurance Company
Claimant Lawyers(s): Julius A. Rousseau
Respondent(s): Francis Mitterhoff, Charles Schwab & Co.., Maria Costa, Vincent Leonetti, Vincent Riccordella
Respondent Lawyers(s): Gilbert R. Serota, Julius A. Rousseau, Lawrence Cohen
Arbitrator(s): Louis H. Miron, Alan Gradzki, Joan Dawn Hogarth
Hearing Site: Newark, NJ
| | $0 |
| 12-03313 | 02/29/2016 | Claimant(s): Valley National Bank, N.A.
Claimant Lawyers(s): John G. Rich
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Michael A. Brady
Arbitrator(s): Louis H. Miron, Sam Antar, Robert J. McDonnell
Hearing Site: Newark, NJ
| | $0 |
| 12-03093 | 07/07/2015 | Claimant(s): John Fletcher, Robert Fletcher, Thomas Fletcher, Fletcher Brothers
Claimant Lawyers(s): Jay J. Rice
Respondent(s): Kevin Ellman, Paul Miller, NFP Securities.
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Louis H. Miron, Karimu F. Hill-Harvey, John W. Thomas
Hearing Site: Newark, NJ
| | $240,600 |
| 13-02757 | 01/15/2015 | Claimant(s): Theresa Jacobs
Claimant Lawyers(s): Howard Rosenfield
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): Louis H. Miron, Clifford A. Harwick, Stephen L. Lister
Hearing Site: Newark, NJ
| | Expungement |
| 14-00941 | 12/18/2014 | Claimant(s): Rodney Herrmann
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | $300 |
| 12-02409 | 03/27/2014 | Claimant(s): Wallace Truszkowski
Claimant Lawyers(s): Wallace Truszkowski
Respondent(s): Craig Escobar, Patrick Darby, Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky, Ross David Carmel
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | Expungement |
