| 18-03187 | 11/21/2019 | Claimant(s): Ann Ginsberg, Gene Ginsberg, Gene H. Ginsberg & Ann R. Ginsberg Trust
Claimant Lawyers(s): David A Conti
Respondent(s): Stifel, Nicolaus & Co.., Lawrence Delhagen, Michael O'Keefe
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Mark H. Stein, Patrick R. Westerkamp, Gerard Thompson
Hearing Site: Philadelphia, PA
|  | $0 |
| 18-02164 | 11/01/2019 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Jamie Nowakowski
Respondent Lawyers(s): Dennis C. Carter
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Hartford, CT
| | |
| 18-02905 | 06/18/2019 | Claimant(s): Alfred Matarazzo
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Bradley A. Fishman
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Philadelphia, PA
| | |
| 18-02958 | 03/15/2019 | Claimant(s): Chi-Hong Chu
Claimant Lawyers(s): Robert Moses
Respondent(s): American Portfolios Financial Services,
Respondent Lawyers(s): Frank A. Tauches
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Newark, NJ
| | |
| 18-02028 | 11/15/2018 | Claimant(s): Leonard Dibbs
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Four Points Capital Partners LLC
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Wilmington, DE
| | Expungement |
| 18-00411 | 11/12/2018 | Claimant(s): Jean Gontarski
Claimant Lawyers(s): Christopher Szewczyk
Respondent(s): Heath Goldstein
Respondent Lawyers(s): Christopher B. Jones
Arbitrator(s): Patrick R. Westerkamp, Howard Alan Grinsberg, John G. Caporuscio
Hearing Site: Newark, NJ
| | Expungement |
| 17-00718 | 09/20/2018 | Claimant(s): NYLife Securities LLC, New York Life Insurance Company
Claimant Lawyers(s): Richard F. Lubarsky
Respondent(s): Jonathan Ayer, Karley Carto, Luis Decastro
Respondent Lawyers(s): Barton E. Centauro, Richard F. Lubarsky
Arbitrator(s): Patrick R. Westerkamp, Karen Kupersmith, Michael Jonathan Chazan
Hearing Site: Providence, RI
| | |
| 17-03461 | 09/04/2018 | Claimant(s): Bi-Zheng Liu, Jason Lin
Claimant Lawyers(s): Ying Zhou
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Patrick R. Westerkamp, Lorrie E Whitfield, Christopher Scott Conner
Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12206 |
| 17-00081 | 05/08/2018 | Claimant(s): D'Amato Family Living Trust
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): David Remigino, Buell Securities Corp.
Respondent Lawyers(s): Richard Slavin
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Hartford, CT
| | $0 |
| 15-00485 | 01/26/2018 | Claimant(s): Michael Kouromihelakis
Claimant Lawyers(s): Anthony J. Pantuso
Respondent(s): Hartford Fire Insurance Company
Respondent Lawyers(s): Miguel A. Escalera
Arbitrator(s): Melinda S. Milberg, Henry Theodore Vogt, Patrick R. Westerkamp
Hearing Site: Hartford, CT
| | |
