| 13-01125 | 02/10/2015 | Claimant(s): Ned Gerstman, Ned Gerstman Ltd POA for Ethan Gerstman
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Piedad A. Bernikow, Kenneth J. Horowitz, Joseph H. Cerame
Hearing Site: Newark, NJ
|  | Expungement |
| 12-01209 | 09/05/2014 | Claimant(s): Charles Kinbar, Evelyn Kinbar
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Cynthia H. Plishtin, Joseph H. Cerame, Marilyn Chin
Hearing Site: Newark, NJ
| | Expungement |
| 13-01093 | 04/28/2014 | Claimant(s): James Cohen
Claimant Lawyers(s): James D. Cohen
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas Briody
Arbitrator(s): Julian F. Santos, Morton S. Bunis, Joseph H. Cerame
Hearing Site: Newark, NJ
| | $50,000 |
| 12-03577 | 12/27/2013 | Claimant(s): Estate of Paul Cheng
Claimant Lawyers(s): Paul E. Kerson
Respondent(s): Keith Fasano, Emmett A Larkin Company., DPEC Capital., Investprivate.Com.
Respondent Lawyers(s): Eric S. Hutner, Gordon Hing
Arbitrator(s): Theodore Moreines, Robert E. Anderson, Joseph H. Cerame
Hearing Site: New York, NY
| | $0 |
| 12-00392 | 05/29/2013 | Claimant(s): Snow Chu
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina P. Martorana
Arbitrator(s): Kenneth J. Horowitz, Joseph H. Cerame, Peter A. Kiefer
Hearing Site: Newark, NJ
| | Expungement |
| 09-06329 | 07/26/2011 | Claimant(s): Giovanni Savinovich
Claimant Lawyers(s): John A. Daniels
Respondent(s): Gordie Jamieson, John Lee, Banc of America Investment Services Inc.
Respondent Lawyers(s): John M. Lee, John Lukanski
Arbitrator(s): Dwight Wassong, Joseph H. Cerame, Richard V. Adams
Hearing Site: Newark, NJ
| | Expungement |
| 06-02419 | 01/27/2009 | Claimant(s): Lucile D. Wulff Trust Account
Claimant Lawyers(s): Francine Falcier Antell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Nancy Gray, Ted Candella
Respondent Lawyers(s): Katherine M. McGrail
Arbitrator(s): William H. Morley, Joseph H. Cerame, Joseph La Rosa
Hearing Site: New York, NY
| | $0 |
| 08-01321 | 12/04/2008 | Claimant(s): Fred Betman
Claimant Lawyers(s): Fred S. Betman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Cynthia H. Plishtin, Sandralin J. Kiss, Joseph H. Cerame
Hearing Site: Newark, NJ
| | $10,000 |
| 05-00756 | 10/03/2008 | Claimant(s): Antonio Benedi
Claimant Lawyers(s): Antonio Benedi Sarria
Respondent(s): Jorge Naval, Pablo Guerrero, Paul Casella, Milestone Group Management
Respondent Lawyers(s): Compliance Officer, Jorge Naval, Pablo Guerrero, Paul Jude Casella
Arbitrator(s): Linda T. Pellegrino, Rick F. Suppa, Joseph H. Cerame
Hearing Site: New York, NY
| | $50,808 |
| 06-03226 | 11/15/2007 | Claimant(s): Alisa Gabriel
Claimant Lawyers(s): Bruce E. Baldinger
Respondent(s): John Arena, Fidelity Brokerage Services LLC, Fidelity Investment Co., Fidelity Service Company., Strategic Advisors.
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Sheldon M. Finkelstein, C. Anthony Bell, Joseph H. Cerame
Hearing Site: Newark, NJ
| | $0 |
