| 10-01073 | 10/20/2011 | Claimant(s): Charles Cerone
Claimant Lawyers(s): Joel N. Kreizman
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Bank of America, Banc of America Insurance Services
Respondent Lawyers(s): Karen P. Gaster
Arbitrator(s): Louis H. Miron, Sandralin J. Kiss, Barbara Weisman
Hearing Site: Newark, NJ
| | |
| 09-02399 | 03/16/2011 | Claimant(s): David Licht, Emanuel Licht
Claimant Lawyers(s): Hartley T. Bernstein
Respondent(s): Glenn Krause, Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Louis H. Miron, Linda T. Pellegrino, Richard W Reilly
Hearing Site: Newark, NJ
|  | Expungement |
| 09-02029 | 02/03/2011 | Claimant(s): Richard Brown, Sarah & David Brown Trust by Karen Midy
Claimant Lawyers(s): Donald Liberman
Respondent(s): Bruce Pomerantz, Charles Merwin, Wachovia Securities
Respondent Lawyers(s): Brian J. Ellis, Robert A.W. Boraks
Arbitrator(s): Craig Scott Bartlett, Louis H. Miron, John E. Shine
Hearing Site: Newark, NJ
| | $0 |
| 09-03079 | 07/29/2010 | Claimant(s): Joseph Patane
Claimant Lawyers(s): Thomas A. Gentile
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mauricio S. Beugelmans
Arbitrator(s): C. Anthony Bell, Louis H. Miron, Stephen L. Lister
Hearing Site: Newark, NJ
| | $0 |
| 09-00176 | 06/28/2010 | Claimant(s): Kevin Dirussa
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Sterne, Agee & Leach.
Respondent Lawyers(s): Stephen L. Poer
Arbitrator(s): Louis H. Miron, Marvin Schleyer, Daniel P. Lund
Hearing Site: Newark, NJ
| | |
| 09-05483 | 06/24/2010 | Claimant(s): Mary Cowin
Claimant Lawyers(s): Mary Cowin
Respondent(s): Adam Kramer, Benjamin Ricciardi, Mitchell Scher, Nancy Potts, Metlife Securities Inc., Scher Financial Group
Respondent Lawyers(s): Howard E. Panensky
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | $5,213 |
| 08-02468 | 04/01/2010 | Claimant(s): Ellen Koval
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Louis H. Miron, Marvin L. Schuldiner, Stephen M. Plotnick
Hearing Site: New York, NY
| | $0 |
| 09-01697 | 12/17/2009 | Claimant(s): Charles Lellman
Claimant Lawyers(s): Gregg Mele
Respondent(s): Granta Capital Group LLC
Respondent Lawyers(s): Francis Duffy
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | |
| 08-04299 | 09/22/2009 | Claimant(s): Jennifer McNulty
Claimant Lawyers(s): Robert A. Vallone
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | $5,700 |
| 07-03603 | 12/30/2008 | Claimant(s): James Apostle
Claimant Lawyers(s): Mark J. Astarita
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): John J. Lynch, Louis H. Miron, Edward W. Morris
Hearing Site: Newark, NJ
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