| 19-03771 | 03/23/2021 | Claimant(s): Frank Miceli
Claimant Lawyers(s): William F. Dahill
Respondent(s): Christopher Matthaei, Elevation
Respondent Lawyers(s): James V. Garvey
Arbitrator(s): Edith M. Novack, Leo J. Karwejna, Eric Nelson
Hearing Site: Jersey City, NJ
| | |
| 16-03180 | 01/12/2018 | Claimant(s): Diane Helbling, Heather Abdullah-Robinson
Claimant Lawyers(s): Diane Helbling
Respondent(s): Brian Hentz, Dennis Kinzer, Morgan Stanley, Jeffrey Graunke, Pershing LLC, National Planning Corporation
Respondent Lawyers(s): Benjamin J. Biard, Christopher M. Sacco, Jane L. Myers
Arbitrator(s): Ronald P. Wertheim, Patrick R. Westerkamp, Leo J. Karwejna
Hearing Site: Philadelphia, PA
|  | $0 |
| 16-02190 | 03/29/2017 | Claimant(s): Randy Mims, IRA
Claimant Lawyers(s): Randy Mims
Respondent(s): Gregory Kuhn
Respondent Lawyers(s): Joel Davidson
Arbitrator(s): Rafael A. Porrata-Doria, Kathleen K. Murphy, Leo J. Karwejna
Hearing Site: Philadelphia, PA
| | $0 |
| 16-00638 | 08/12/2016 | Claimant(s): Mark Smalley
Claimant Lawyers(s): Mark Brian Smalley
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Robert E. Anderson, Joseph H. Cerame, Leo J. Karwejna
Hearing Site: Newark, NJ
| | |
| 15-01053 | 06/14/2016 | Claimant(s): J.P. Morgan Securities, JPMorgan Chase Bank, N.A.
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Jason Meyer, Morgan Stanley, Lori Rabinowitz, Mead Briggs, Michael Pudlak, Michael Reynolds, Steven Christensen
Respondent Lawyers(s): Jonathan C. Thau, Thomas J. Momjian
Arbitrator(s): Kenneth J. Horowitz, Leo J. Karwejna, Sirena Terr
Hearing Site: Newark, NJ
| | |
| 13-03007 | 03/04/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Simone A. Muscarnera, Leo J. Karwejna, Paul Allan Massaro
Hearing Site: Newark, NJ
| | |
| 10-04927 | 02/13/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Daniel Kole
Respondent Lawyers(s): Kimberly A. Capadona
Arbitrator(s): James M. Baumann, Jacob Aschkenasy, Leo J. Karwejna
Hearing Site: Newark, NJ
| | |
| 09-05637 | 11/28/2011 | Claimant(s): JoAnne Matina
Claimant Lawyers(s): George L. Mahr
Respondent(s): Joseph Matina
Respondent Lawyers(s): John C. Kelly
Arbitrator(s): Joan M. Traub, Richard H. Hoenig, Leo J. Karwejna
Hearing Site: Newark, NJ
| | $0 |
