| 18-02096 | 10/31/2018 | Claimant(s): Brendon Pierson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Eric J. Chartan
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | |
| 16-01792 | 08/20/2018 | Claimant(s): Camille Greco
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Israel Torres, Meyers Associates, L.P.
Respondent Lawyers(s): Israel Torres, John Stalanski
Arbitrator(s): Stephen L. Lister, Edward W. Morris, Bruce Edward Walenczyk
Hearing Site: Newark, NJ
|  | $397,300 |
| 17-01356 | 07/03/2018 | Claimant(s): Juliana Smith
Claimant Lawyers(s): Stephen J. Curley
Respondent(s): USAA Investment Management Company
Respondent Lawyers(s): Joshua Kastan
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
| | $62,275 |
| 17-01310 | 03/05/2018 | Claimant(s): Christopher Metcalf, Jeffrey Cole
Claimant Lawyers(s): David Erez Dobin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Marissa A. Santangelo, Edward W. Morris, Catherine M. Gallagher
Hearing Site: Hartford, CT
| | |
| 17-02515 | 02/15/2018 | Claimant(s): Imran Mahar
Claimant Lawyers(s): Imran Khan Mahar
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Karen M. Carbone
Arbitrator(s): Edward W. Morris
Hearing Site: New York, NY
| | |
| 17-01309 | 02/09/2018 | Claimant(s): Christopher Metcalf
Claimant Lawyers(s): David Erez Dobin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Marissa A. Santangelo, Edward W. Morris, Paul Smith Besson
Hearing Site: Hartford, CT
| | |
| 17-00128 | 11/07/2017 | Claimant(s): Thomas O'connell
Claimant Lawyers(s): George L. Mahr
Respondent(s): Comprehensive Asset Management
Respondent Lawyers(s): Glenn Aufrichtig
Arbitrator(s): Joan M. Traub, Edward W. Morris, Joseph Antim Galati
Hearing Site: Newark, NJ
| | |
| 15-02700 | 10/13/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): T.R. Bynum
Respondent(s): John Boston
Respondent Lawyers(s): John Boston
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | |
| 16-01234 | 07/17/2017 | Claimant(s): Alan Rosenthal Family Trust
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Wells Fargo Advisors, Russell Blum
Respondent Lawyers(s): Deirdre C. Wolff, Russell Scott Blum
Arbitrator(s): Edward W. Morris
Hearing Site: Hartford, CT
| | Expungement |
| 15-01346 | 06/15/2017 | Claimant(s): Edward Hartman
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Justin J. DeCamp
Arbitrator(s): Oliver Wayne Williams, Edward W. Morris, Ronald J. Colombo
Hearing Site: New York, NY
| | |
