| 13-01078 | 06/22/2015 | Claimant(s): James Swan
Claimant Lawyers(s): Nicholas Stevens
Respondent(s): BB&T Securities
Respondent Lawyers(s): Adam Stern
Arbitrator(s): Charles L. Prothero, Linda J. Baer, Louis Aloysius Hall
Hearing Site: Newark, NJ
| | |
| 11-03381 | 06/02/2015 | Claimant(s): Daniel Gulak
Claimant Lawyers(s): Val D. Hornstein
Respondent(s): Patrick Nelson, Robert Angle, White Pacific Securities.
Respondent Lawyers(s): Christopher Mader, Elizabeth Lowery
Arbitrator(s): Richard D. DeVita, Linda J. Baer, Robert T. Costello
Hearing Site: Newark, NJ
|  | $250,000 |
| 13-02540 | 05/28/2015 | Claimant(s): Anne Rapp, Brian Vaughn, Brooks Culley, Charles Bigelow, Charles Redfearn, David Kells, Frank Piraino, Frank Vaughn, George Skaates, Harold Stulbaum, Howard Applebaum, Joseph Rapp, Joseph Reale, Michael King, Nikki Applebaum, Regina Kinney, Richard Lenhart, Robert Kinney, Robert Starzel, Ronald Vaughn, et al
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Anthony Lodati, Brookville Capital Partners
Respondent Lawyers(s): Brett D. Zinner
Arbitrator(s): Lise Gabrielle Hunter, Thomas D. Giordano, Linda J. Baer
Hearing Site: New York, NY
| | $2,692,600 |
| 13-02580 | 05/22/2015 | Claimant(s): Linda Pennfield
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Michael J. Maran, Linda J. Baer, Roger B. Jacobs
Hearing Site: New York, NY
| | $0 |
| 14-00213 | 04/16/2015 | Claimant(s): Philip Lefkowitz
Claimant Lawyers(s): David Hirschberg
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Kevin Leblang
Arbitrator(s): Linda J. Baer, John B. Sprung, Peter Susser
Hearing Site: New York, NY
| | |
| 13-01271 | 03/12/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Joshua Haron, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James A. Saville, Louis M. Lagalante
Arbitrator(s): Linda J. Baer, Brian F Loveman, Michele S. Riley
Hearing Site: New York, NY
| | |
| 12-01161 | 11/06/2014 | Claimant(s): Adam Behlman
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Kevin LeBlang
Arbitrator(s): Charles P. Axelrod, Joseph W. Lodato, Linda J. Baer
Hearing Site: New York, NY
| | |
| 14-01045 | 10/10/2014 | Claimant(s): Michael Giannone
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Linda J. Baer
Hearing Site: Newark, NJ
| | $213 |
| 13-00805 | 10/03/2014 | Claimant(s): Julia Furia
Claimant Lawyers(s): Joseph B. Brown
Respondent(s): Merrill Lynch Pierce Fenner & Smith.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Linda J. Baer
Hearing Site: Newark, NJ
| | Expungement |
| 14-00902 | 10/02/2014 | Claimant(s): Frank Tobias
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Linda J. Baer
Hearing Site: Newark, NJ
| | $300 |
