| 14-01626 | 01/08/2016 | Claimant(s): Michael Marcello
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): James Forsythe, Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Joseph J. Arata, Peter A. Goldman, Gelvin L. Stevenson
Hearing Site: New York, NY
|  | $0 |
| 15-00728 | 12/23/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Luken Carp
Respondent(s): Gloria Farina
Respondent Lawyers(s): Gloria Lynn Farina
Arbitrator(s): Joseph J. Arata, Judith Fields Jurney, Henry Nguyen
Hearing Site: New York, NY
| | |
| 15-00011 | 12/14/2015 | Claimant(s): Pamela Averick, Averick Financial LLC
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machinski
Arbitrator(s): Joseph J. Arata, Howard D. Jacob, Edward W. Morris
Hearing Site: New York, NY
| | $0 |
| 15-00893 | 08/10/2015 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Glenn Beyer
Respondent Lawyers(s): Glenn Ivan Beyer
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
| 14-00549 | 11/18/2014 | Claimant(s): Ian Cole
Claimant Lawyers(s): Ian Stuart Cole
Respondent(s): Purshe Kaplan Sterling Investments
Respondent Lawyers(s): David M. Purcell
Arbitrator(s): Joseph J. Arata, John A. Astorina, Stuart L. Bass
Hearing Site: New York, NY
| | |
| 13-03175 | 11/12/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
| 12-02943 | 05/28/2014 | Claimant(s): Alfred and Frances Woods
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Richard W. Vallario, Joseph J. Arata, John Carl Cirincion
Hearing Site: New York, NY
| | Expungement |
| 10-01969 | 12/09/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Robert Giusti
Respondent Lawyers(s): Robert Giusti
Arbitrator(s): Joseph J. Arata, Paul Kanischak, Keely D. Parr
Hearing Site: New York, NY
| | |
| 11-04202 | 04/01/2013 | Claimant(s): Jo Mayeroff
Claimant Lawyers(s): Jo Mayeroff
Respondent(s): Daniel Schaffer, Aaron Capitalorporated
Respondent Lawyers(s): Gilbert W. Boyce
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | $0 |
| 12-01801 | 03/28/2013 | Claimant(s): Daniel H. Lerner
Claimant Lawyers(s): Daniel H. Lerner
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | $0 |
