| 13-00184 | 02/28/2014 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): Howard J. Kaplan
Respondent(s): Shan Nagendra
Respondent Lawyers(s): Douglas J. Kinz
Arbitrator(s): Walter A. Kapuscinski, Louis H. Miron, Morton S. Bunis
Hearing Site: Newark, NJ
|  | $0 |
| 13-01802 | 02/20/2014 | Claimant(s): Stamberger Capital Management
Claimant Lawyers(s): Guy R. Stamberger
Respondent(s): Pershing Advisor Solutions LLC
Respondent Lawyers(s): Jane L. Myers
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | $0 |
| 12-00053 | 10/18/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John Michael Riordan
Respondent(s): Brett Stickney
Respondent Lawyers(s): John R. Kiefner
Arbitrator(s): Louis H. Miron, Frank E. Wolf, Jacqueline Marie Pierre
Hearing Site: Montpelier, VT
| | |
| 12-01246 | 08/14/2013 | Claimant(s): Michael French
Claimant Lawyers(s): John L. Franco
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Eric D. Jones
Arbitrator(s): Louis H. Miron, Albert J. Cirone, Patrick W. McKeon
Hearing Site: Montpelier, VT
| | |
| 11-03303 | 06/11/2013 | Claimant(s): Michael Cappetto
Claimant Lawyers(s): Gregory S. Schaer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Dimarsico, Scott Blackburn, Sheila Mccullough
Respondent Lawyers(s): Karen P. Gaster
Arbitrator(s): Louis H. Miron, Walter C. Parrish, Daniel A. Pinkus
Hearing Site: Newark, NJ
| | |
| 12-02710 | 05/17/2013 | Claimant(s): Gabriel and Mary T. Frangione JTTENROS
Claimant Lawyers(s): Gabriel Frangione
Respondent(s): Edward Buecker, RBC Capital Markets LLC
Respondent Lawyers(s): Patrick J. Howley
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | $15,274 |
| 11-01327 | 09/24/2012 | Claimant(s): Lisa Mazzone, Alexandra Mazzone UGMA, Nicholas A. Mazzone UGMA
Claimant Lawyers(s): Alan L Frank
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew Park
Arbitrator(s): Louis H. Miron, John R. Buehler, Felicia T. Farber
Hearing Site: Newark, NJ
| | Expungement |
| 10-04215 | 05/08/2012 | Claimant(s): Congregation Bais Yisroel.
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Christian T Kemnitz
Arbitrator(s): Walter A. Kapuscinski, Louis H. Miron, Kip C. Lubcke
Hearing Site: Newark, NJ
| | $0 |
| 10-05817 | 04/13/2012 | Claimant(s): Agnes Ruymen, Estate of Roy Ruymen, Roy Ruymen's Retirement Accounts & Plans
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Tom Briody
Arbitrator(s): Louis H. Miron, William R.H. Martin, Louis P. Wagman
Hearing Site: Newark, NJ
| | Expungement |
| 11-02361 | 02/03/2012 | Claimant(s): Richard Kerian
Claimant Lawyers(s): David E. Robbins
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Walter A. Kapuscinski, Louis H. Miron, S. Charles Tabak
Hearing Site: Newark, NJ
| | Expungement |
