| 11-00892 | 09/19/2012 | Claimant(s): Dharmendra Patel and Saroj Patel
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Linda T. Pellegrino
Hearing Site: Newark, NJ
|  | Expungement |
| 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 |
| 11-03525 | 05/14/2012 | Claimant(s): Domestic Securities.
Claimant Lawyers(s): Carole R. Bernstein
Respondent(s): John Laresca
Respondent Lawyers(s): John Charles Laresca
Arbitrator(s): Linda T. Pellegrino
Hearing Site: Newark, NJ
| | |
| 10-04783 | 12/19/2011 | Claimant(s): Est. of Percival H.E. Leach by Gregory G
Claimant Lawyers(s): Christopher E. Torkelson
Respondent(s): E. du Pont, Morgan Stanley
Respondent Lawyers(s): Alissa Pyrich, Joseph L. Calabrese
Arbitrator(s): Linda T. Pellegrino, Philip Rachmelowitz, S. Charles Tabak
Hearing Site: Newark, NJ
| | $48,000 |
| 09-06175 | 12/16/2011 | Claimant(s): Estelle Gangi, William Gangi, William and Estelle Gangi Irrev. Trust
Claimant Lawyers(s): Peter S. Pearlman
Respondent(s): Brian Purpura, J.P. Morgan Clearing Corp., J.P. Morgan Securities, Scott Siegel
Respondent Lawyers(s): David B. Wechsler, Timothy E. Di Domenico
Arbitrator(s): Linda T. Pellegrino, Dwight Wassong, Scott M. Pellegrino
Hearing Site: Newark, NJ
| | $0 |
| 09-05426 | 10/11/2011 | Claimant(s): William McIroy
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nikolas Komyati
Arbitrator(s): Linda T. Pellegrino, Charles L. Prothero, Gerald Joseph Coughlin
Hearing Site: Newark, NJ
| | Expungement |
| 09-05562 | 05/05/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Ellen Sheridan-Cona
Respondent(s): Mitchell Kahn
Respondent Lawyers(s): Lawrence B. Khan
Arbitrator(s): Linda T. Pellegrino, Rick F. Suppa, Simone A. Muscarnera
Hearing Site: Newark, NJ
| | |
| 09-02399 | 03/16/2011 | Claimant(s): David Licht, Emanuel Licht
Claimant Lawyers(s): Hartley T. Bernstein
Respondent(s): Glenn Krause, Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Louis H. Miron, Linda T. Pellegrino, Richard W Reilly
Hearing Site: Newark, NJ
| | Expungement |
| 09-02638 | 01/03/2011 | Claimant(s): Dennis and Sandra Malanga, DESA Corp. Profit Sharing Plan
Claimant Lawyers(s): Dan A. Druz
Respondent(s): Charles Induddi, Pershing LLC, Lincoln Financial Securities
Respondent Lawyers(s): Jane Meyers, Janene M. Marasciullo
Arbitrator(s): Linda T. Pellegrino, Edith M. Novack, Joseph Michael Dougherty
Hearing Site: Newark, NJ
| | $43,750 |
| 08-04389 | 12/03/2010 | Claimant(s): Jeffrey Zage, Steven Zage, Financial Northeastern Securities.
Claimant Lawyers(s): Steven R. Klein
Respondent(s): Andrew Liebe, Eric Ratner, Evan Quinones, Gregory Taylor, Michael Kapp, Michele Giampietro, Phillip Auerbach, Jesup & Lamont Inc., Jesup & Lamont Securities Corp.
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): Linda T. Pellegrino, Robert S. Getman, AnnMarie Miller
Hearing Site: Newark, NJ
| | |
