| 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 |
| 13-00662 | 07/30/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Joseph L Gordon
Respondent(s): Emilio Valdes
Respondent Lawyers(s): Emilio Javier Valdes
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 12-04349 | 07/26/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Joseph L. Gordon
Respondent(s): Lance Hubeny
Respondent Lawyers(s): Sarah Grimes
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 12-02637 | 03/13/2013 | Claimant(s): Gail Weiner
Claimant Lawyers(s): Stephanie Wayco
Respondent(s): Eileen Maloof, George Maloof
Respondent Lawyers(s): Adolfo J. Anzola
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | Expungement |
| 12-00515 | 12/27/2012 | Claimant(s): Joel Steinman
Claimant Lawyers(s): Joel Steinman
Respondent(s): Wells Fargo Advisors, SunAmerica Annuity and Life Insurance Co
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | $15,786 |
| 08-00156 | 10/17/2012 | Claimant(s): Basil Maher, M. Maher, Essex Equity Holdings USA
Claimant Lawyers(s): S. Gale Dick
Respondent(s): Jeffrey Chernick, John Liu, Mark Stevenson, Neil Greenspan, Peter Gambee, Sanford Haber, William Gourd, Greenhill & Co.
Respondent Lawyers(s): Andrew J. Melnick, Emmet P. Ong, Theodore A. Krebsbach
Arbitrator(s): Robert E. Anderson, Judith P. Brooks, Sam Antar
Hearing Site: New York, NY
| | $0 |
| 11-00260 | 10/16/2012 | Claimant(s): Jill Goldman, The Goldman Family 2007 Irrev. Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Hugh Wallschleger, R. Seelaus & Co..
Respondent Lawyers(s): David W. Schmidt
Arbitrator(s): Michael Fischetti, Robert E. Anderson, Sherrill Ruth Austin
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 10-05380 | 06/28/2012 | Claimant(s): Deborah Charles
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): B. David Jarashow, Gerald Joseph Coughlin, Robert E. Anderson
Hearing Site: Newark, NJ
| | Expungement |
| 10-02584 | 04/25/2012 | Claimant(s): Karabi Sinha
Claimant Lawyers(s): Barry R. Lax
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Cynthia H. Plishtin, Robert E. Anderson, Joan Marie Chiusano
Hearing Site: Newark, NJ
| | $154,479 |
| 10-03652 | 03/29/2012 | Claimant(s): Louis Delmauro, Renee Delmauro
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | Expungement |
