| 17-03265 | 06/03/2022 | Claimant(s): Dwight Rose, Nancy Rose
Claimant Lawyers(s): Albert R. Murray
Respondent(s): Kevin Houser, Houser & Plessl Wealth Management Group,
Respondent Lawyers(s): Michael S. Taafee
Arbitrator(s): Annamaria Boccia Smith, Sirena Terr, Charlane Brown
Hearing Site: New York, NY
|  | Expungement |
| 15-01053 | 06/14/2016 | Claimant(s): J.P. Morgan Securities, JPMorgan Chase Bank, N.A.
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Jason Meyer, Morgan Stanley, Lori Rabinowitz, Mead Briggs, Michael Pudlak, Michael Reynolds, Steven Christensen
Respondent Lawyers(s): Jonathan C. Thau, Thomas J. Momjian
Arbitrator(s): Kenneth J. Horowitz, Leo J. Karwejna, Sirena Terr
Hearing Site: Newark, NJ
| | |
| 14-00235 | 11/13/2015 | Claimant(s): Malgorzata Petersen, M & R Petersen Family Limited Partnershi
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Mark Harwanko, Ameriprise Financial Services Inc
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Robert E. Anderson, Leslie Ruth Nydick, Sirena Terr
Hearing Site: Newark, NJ
| | Expungement |
| 13-03027 | 06/17/2014 | Claimant(s): Albert Hoeflich, Edward Hoeflich, Eric Hoeflich, REB I
Claimant Lawyers(s): Daniel A. Bakondi, Robert L. Gonser
Respondent(s): Joral Schmalle, Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Susan Sangillo Bellifemine, Sam Antar, Sirena Terr
Hearing Site: Newark, NJ
| | Dismissed by Rule 12206 |
