| 11-02169 | 02/17/2016 | Claimant(s): James Cady
Claimant Lawyers(s): Kevin E. Barber
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Marvin Schleyer, Neal D. Baker, Michael A. Ruderman
Hearing Site: Newark, NJ
| | |
| 12-01806 | 06/25/2014 | Claimant(s): Frank J. Ferruggia IRA, Virginia A. Ferruggia, IRA, Frank J. and Virginia A. Ferruggia, JNT
Claimant Lawyers(s): Mitchell H. Cobert
Respondent(s): Alan Chodosh, Craig Nomberg, David Lerner Associates., David Lerner, John Dempsey, Martin Lerner, Martin Walcoe, Steven Sormani
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Bernard M. Levine, Michael A. Ruderman, Richard Lewis Zack
Hearing Site: Newark, NJ
|  | $260,000 |
| 11-02357 | 02/06/2013 | Claimant(s): Christopher Voccola
Claimant Lawyers(s): Timothy Feil
Respondent(s): Pauline Maitoglou
Respondent Lawyers(s): Kevin J. Begley
Arbitrator(s): Abraham Harry Bunis, Brian S. Hamburger, Michael A. Ruderman
Hearing Site: Newark, NJ
| | Expungement |
| 11-04814 | 08/23/2012 | Claimant(s): Keith Steidle
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Bernard M. Levine, Michael A. Ruderman, Philip Boyd Wisener
Hearing Site: Newark, NJ
| | |
| 09-04018 | 05/02/2011 | Claimant(s): Wayne Wolberg
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Jeffry Eisnaugle, 1st Financial Services
Respondent Lawyers(s): David A. Zisser
Arbitrator(s): Cletus E. Byrne, Ronald G. Guida, Michael A. Ruderman
Hearing Site: Denver, CO
| | $45,000 |
| 09-03352 | 05/17/2010 | Claimant(s): Philip Henderson
Claimant Lawyers(s): William R. Fishman
Respondent(s): Keys Tinney, ING Financial Partners.
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Paul A. Krepinski, Gerhard L. Schopen, Michael A. Ruderman
Hearing Site: Denver, CO
| | $434,445 |
| 08-02993 | 10/06/2009 | Claimant(s): Michael Pappas
Claimant Lawyers(s): Marc F. Colin
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Ann Hensler
Arbitrator(s): Gene R. Thornton, Marilyn R. Lewis, Michael A. Ruderman
Hearing Site: Denver, CO
| | |
| 07-03412 | 03/05/2009 | Claimant(s): Aimee Mason-Hobbins
Claimant Lawyers(s): James S. Helfrich
Respondent(s): Derek Kent, Sagepoint Financial.
Respondent Lawyers(s): Gene R. Thornton, William D. Nelson
Arbitrator(s): Robert C. Roth, Bruce Brown, Michael A. Ruderman
Hearing Site: Denver, CO
| | $509,800 |
| 07-02336 | 06/13/2008 | Claimant(s): Mount Yale Securities, Yale Portfolio Advisors
Claimant Lawyers(s): Sven C. Collins
Respondent(s): Glenda Pemble
Respondent Lawyers(s): William Nelson
Arbitrator(s): Jonathan H. Larson, Michael A. Ruderman, Richard Djokic
Hearing Site: Denver, CO
| | |
| 06-01384 | 05/08/2008 | Claimant(s): Susan Wickizer
Claimant Lawyers(s): Paul N. Young
Respondent(s): Jeffrey Toman, Piper Jaffray & Co.
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Joseph M. Costello, Rhonda L. Rhodes, Michael A. Ruderman
Hearing Site: Denver, CO
| | $0 |
