| 23-02354 | 11/13/2024 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Neil S. Baritz
Respondent(s): Mario Rivero
Respondent Lawyers(s): Mario Everildo Rivero
Arbitrator(s): Michael H DuBoff, Kenneth J. Horowitz, Julian Stapleford
Hearing Site: Jersey City, NJ
| | |
| 23-01839 | 11/04/2024 | Claimant(s): Michael Galanti, Sheilah Galanti
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): James Mariani, Michael Fasciglione
Respondent Lawyers(s): James J. Mariani, Michael Fasciglione
Arbitrator(s): Martin R. Cramer, Peter L. Michaelson, Cataldo Fazio
Hearing Site: Jersey City, NJ
|  | $500,300 |
| 24-00229 | 11/01/2024 | Claimant(s): Christopher Allen
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Jersey City, NJ
| | |
| 23-01004 | 10/22/2024 | Claimant(s): Douglas McCredy, Gregory Dente
Claimant Lawyers(s): Ryan Cook
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Louis Arnold Russo
Hearing Site: Jersey City, NJ
| | Expungement |
| 19-03181 | 10/09/2024 | Claimant(s): Richard Hveem
Claimant Lawyers(s): Mark L.. Parmelee
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Jennifer W. Burke
Arbitrator(s): Edith M. Novack
Hearing Site: Jersey City, NJ
| | |
| 23-02656 | 10/02/2024 | Claimant(s): Rodger Thomas
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): NewBridge Securities Corp., National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes, Rick Slavik
Arbitrator(s): Edith M. Novack, Richard Steven Pollack, Kevin K Walsh
Hearing Site: Jersey City, NJ
| | |
| 24-00947 | 09/09/2024 | Claimant(s): Chiara Yi
Claimant Lawyers(s): Chiara Yi
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): Kevin Kanesaka
Hearing Site: Jersey City, NJ
| | $300 |
| 24-00601 | 09/06/2024 | Claimant(s): Bellaria Jimenez, John Bucsek, JBJ Financial LLC
Claimant Lawyers(s): Brian D. Singleton
Respondent(s): Domenick Carofine
Respondent Lawyers(s): Domenick Carofine
Arbitrator(s): Julian F. Santos
Hearing Site: Jersey City, NJ
| | |
| 22-02807 | 08/27/2024 | Claimant(s): Chrisandra Delesky, Jonathan Provoost
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Paul Allan Massaro, Jay Alan Kranis, David Patrick Syring
Hearing Site: Jersey City, NJ
| | Expungement |
| 21-00120 | 08/13/2024 | Claimant(s): Ralph Shalom
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Eugene Small
Arbitrator(s): John A. Scudiero, Jay Alan Kranis, Louis Arnold Russo
Hearing Site: Jersey City, NJ
| | Expungement |
