| 13-03160 | 08/26/2014 | Claimant(s): Kovack Securities Inc.
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Anthony Diaz
Respondent Lawyers(s): Jerome M. Selvers
Arbitrator(s): Ronald J. Colombo
Hearing Site: Newark, NJ
| | |
| 12-03803 | 07/11/2014 | Claimant(s): Susan Bowlus, The Dilts Saltzman Partnership, The Dilts & Kappeler Family Trust
Claimant Lawyers(s): Natraj S. Bhushan
Respondent(s): Nello Gonfiantini, Robert Lawless, Stacy Asteriadis, Specialty Capital
Respondent Lawyers(s): Alvin L. Fishman
Arbitrator(s): Thomas D. Giordano, Kathleen Cawley, Ronald J. Colombo
Hearing Site: New York, NY
|  | $0 |
| 12-01177 | 06/18/2014 | Claimant(s): Brice Van Elswyk
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): RBS Securities.
Respondent Lawyers(s): Deborah P. Kelly
Arbitrator(s): Sally Jane Sancimino, Ronald J. Colombo, Wallace Anthony Showman
Hearing Site: New York, NY
| | |
| 13-00797 | 06/04/2014 | Claimant(s): Peter Bellard
Claimant Lawyers(s): David Wechsler
Respondent(s): GFI Brokers LLC, GFI Securities LLC
Respondent Lawyers(s): Jeffrey S. Boxer
Arbitrator(s): Robert I. Rabinowitz, Robert S. Getman, Ronald J. Colombo
Hearing Site: New York, NY
| | |
| 13-01254 | 12/06/2013 | Claimant(s): Benjamin C. Ritter Jr and Nina Ritter JT
Claimant Lawyers(s): John L. Allen
Respondent(s): Anne Gagnon, Wells Fargo Securities Inc., Wells Fargo Advisors Financial Network, Wells Fargo Advisors, David Rosenberg, Wells Fargo Securities
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Robert E. Anderson, Joseph I. Liebman, Ronald J. Colombo
Hearing Site: New York, NY
| | Expungement |
| 11-04455 | 06/25/2013 | Claimant(s): Robert Stolte
Claimant Lawyers(s): Alan L. Frank
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Alan Shaw, S. Charles Tabak, Ronald J. Colombo
Hearing Site: Newark, NJ
| | Expungement |
| 10-03660 | 05/21/2012 | Claimant(s): Danny Spiegel, Gaurav Lall, Tamir Shabat
Claimant Lawyers(s): Ian J. Frimet
Respondent(s): Reuven Enterprises Securities Division,, Synergy Investment Group
Respondent Lawyers(s): Ian J. Frimet, Marci Goldstein Kokalas, Esq.
Arbitrator(s): Lise Gabrielle Hunter, Susan Manca, Ronald J. Colombo
Hearing Site: New York, NY
| | |
| 08-03810 | 05/25/2011 | Claimant(s): Spitz Family Partnership L.P.
Claimant Lawyers(s): Christopher A. Bacotti
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Joan M. Traub, Joshua Mark Zucker, Ronald J. Colombo
Hearing Site: New York, NY
| | $0 |
| 09-04266 | 05/28/2010 | Claimant(s): Smh Capital Inc.
Claimant Lawyers(s): Andrew R. Harvin
Respondent(s): Patricia Bonavito
Respondent Lawyers(s): Patricia Bonavito
Arbitrator(s): Joseph D. Cosgrove, Judith C. Greene, Ronald J. Colombo
Hearing Site: New York, NY
| | |
