17-02503 | 05/31/2018 | Claimant(s): Amanda Glanz Claimant Lawyers(s): Eric Litow Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Catherine Stewart Hearing Site: Newark, NJ
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16-00188 | 04/05/2018 | Claimant(s): Francine Sorkin Segal Claimant Lawyers(s): Kirk G. Smith Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Denis C. Dice Arbitrator(s): Catherine Stewart, Robert E. Anderson, Veronica Ann Williams Hearing Site: Newark, NJ
| | Expungement |
17-00831 | 03/23/2018 | Claimant(s): Wayne Magao Claimant Lawyers(s): Howard M. Rosenfield Respondent(s): MSI Financial Services. Respondent Lawyers(s): Adam Saper Arbitrator(s): Gerard S. Marsan, Catherine Stewart, Jud Perkins Hearing Site: Providence, RI
| | Expungement |
16-02878 | 12/14/2017 | Claimant(s): Anthony Morello, Donna Morello Claimant Lawyers(s): Ross B. Intelisano Respondent(s): Wellington Shields & Co. Respondent Lawyers(s): Neil A. Sussman Arbitrator(s): Catherine Stewart, Martin R. Cramer, Peter L. Michaelson Hearing Site: Newark, NJ
| | $0 |
17-00394 | 08/17/2017 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Travis McGregor Respondent(s): Robert O'Herlihy Respondent Lawyers(s): Robert Frances O'Herlihy Arbitrator(s): Catherine Stewart Hearing Site: Newark, NJ
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15-01270 | 06/20/2017 | Claimant(s): Sally Boyle Claimant Lawyers(s): Sally J. Boyle Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Sharon L. Monroe, Catherine Stewart, John Francis Markuns Hearing Site: Manchester, NH
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14-02356 | 05/31/2016 | Claimant(s): Janice Levy Claimant Lawyers(s): Deborah R. Gross Respondent(s): Wells Fargo Advisors, Kevin Larkin Respondent Lawyers(s): Alan S. Rafterman Arbitrator(s): Gordon M. Wase, Fred M. Fleisher, Catherine Stewart Hearing Site: Philadelphia, PA
| | $0 |
15-01218 | 05/11/2016 | Claimant(s): Gary Penner & Leslie-Ann Furie JTWROS, Gary Penner Profit Sharing Plan, Leslie-Ann Furie Profit Sharing Plan Claimant Lawyers(s): Gary Penner Respondent(s): Edward Moldaver, James Lee, Mark Stevenson Respondent Lawyers(s): David Robbins, Jonathan L. Adler Arbitrator(s): Karimu F. Hill-Harvey, Catherine Stewart, Marvin L. Schuldiner Hearing Site: Newark, NJ
| | Expungement |
13-01775 | 01/16/2015 | Claimant(s): Betty Schechter, Claire Schechter Claimant Lawyers(s): Alex E. Rogers Respondent(s): Wells Fargo Advisors, H. Pietraccini Respondent Lawyers(s): Alan S. Rafterman Arbitrator(s): Michael P. Marryshow, Catherine Stewart, Robin L. Lewis Hearing Site: Philadelphia, PA
| | Expungement |
13-01004 | 07/11/2014 | Claimant(s): Elias Abboud Claimant Lawyers(s): Brett A. Datto Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Brian J. Ellis Arbitrator(s): Jill Leeds-Rivera, Catherine Stewart, Robert Alan Mayer Hearing Site: Philadelphia, PA
| | Expungement |