| 11-02334 | 06/09/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Brian McCafferty
Respondent Lawyers(s): Dan Druz
Arbitrator(s): Alan Shaw, Edith M. Novack, David Morris Weiss
Hearing Site: Newark, NJ
| | |
| 12-00862 | 07/29/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Megan Marmion Christensen
Respondent(s): Todd Leonhardt
Respondent Lawyers(s): Dennis J. Smith
Arbitrator(s): Alan Shaw, Patrick R. Westerkamp, Esq., Edward James O'Dowd
Hearing Site: Newark, NJ
| | |
| 11-04455 | 06/25/2013 | Claimant(s): Robert Stolte
Claimant Lawyers(s): Alan L. Frank
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Alan Shaw, S. Charles Tabak, Ronald J. Colombo
Hearing Site: Newark, NJ
|  | Expungement |
| 09-00951 | 02/14/2013 | Claimant(s): Associated Humane Societies.
Claimant Lawyers(s): Colleen Flynn Cyphers
Respondent(s): Bruce Barth, Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Trust Co.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Alan Shaw, Nathan J. Minucci, Mia Scanga
Hearing Site: Newark, NJ
| | $294,480 |
| 11-01063 | 02/11/2013 | Claimant(s): Wexco Industries
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Christina R. Ryfa
Arbitrator(s): Alan Shaw, Barbara Weisman, Neal D. Baker
Hearing Site: Newark, NJ
| | Expungement |
| 12-00902 | 08/01/2012 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): John Ebanietti
Respondent Lawyers(s): John Blaise Ebanietti
Arbitrator(s): Alan Shaw
Hearing Site: Newark, NJ
| | |
| 11-03123 | 05/24/2012 | Claimant(s): Ann Kautzmann
Claimant Lawyers(s): Ann Kautzmann
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Alan Shaw
Hearing Site: Newark, NJ
| | $0 |
| 10-05616 | 05/15/2012 | Claimant(s): Susan Blickman
Claimant Lawyers(s): John Daniels
Respondent(s): Wells Fargo Advisors, John Compton
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Linda T. Pellegrino, Alan Shaw, Sandralin J. Kiss
Hearing Site: Newark, NJ
| | Expungement |
| 10-05584 | 05/10/2012 | Claimant(s): Louis Najdzin
Claimant Lawyers(s): Peter Nichols
Respondent(s): E*Trade Securities LLC, William Velthaus
Respondent Lawyers(s): John Bersin
Arbitrator(s): Ronald Citron, Alan Shaw, Bernard M. Levine
Hearing Site: Newark, NJ
| | Expungement |
| 10-05264 | 12/16/2011 | Claimant(s): Mario Conforti
Claimant Lawyers(s): Mark J. Brancato
Respondent(s): Anthony Locascio, FSC Securities Corporation
Respondent Lawyers(s): Justin I. Sacca, Robyn Silvermintz
Arbitrator(s): Jerry P. DeNigris, Alan Shaw, Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | $0 |
