| 16-02890 | 06/04/2019 | Claimant(s): John Cottam
Claimant Lawyers(s): Derrelle Janey
Respondent(s): Alexander Kibrik, Global Emerging Capital Group
Respondent Lawyers(s): Alexander Kibrik, Claudette Burgess Gay
Arbitrator(s): Catherine Stewart, Peter L. Michaelson, Joseph Michael Dougherty
Hearing Site: Newark, NJ
|  | Dismissed by Rule 12212(c) |
| 18-02124 | 06/04/2019 | Claimant(s): Larry Geller
Claimant Lawyers(s): Larry S. Geller
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | $0 |
| 19-00598 | 06/03/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S Brodherson
Respondent(s): John Reynolds
Respondent Lawyers(s): John Stephen Reynolds
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 18-03234 | 05/31/2019 | Claimant(s): Susan Mcconnell
Claimant Lawyers(s): Susan McConnell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Justin Condit
Arbitrator(s): Joan Marie Chiusano, Sam Antar, James M. Rhodes
Hearing Site: Newark, NJ
| | |
| 18-03457 | 05/23/2019 | Claimant(s): Gerard Sharpe
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): NewBridge Securities Corp., J.W. Barclay & Co..
Respondent Lawyers(s): Gregg J. Breitbart, John Bruno
Arbitrator(s): Julian F. Santos
Hearing Site: Newark, NJ
| | |
| 18-03926 | 05/16/2019 | Claimant(s): Keith Steidle
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): Nationwide Planning Associates Inc.
Respondent Lawyers(s): Michael J. Karalewich
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 18-00148 | 05/14/2019 | Claimant(s): Marc Scudillo
Claimant Lawyers(s): Harris Freedman
Respondent(s): Securities America., 1St Global Capital Corp.
Respondent Lawyers(s): Judith A. Knudsen, Tyler Schubauer
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
| | |
| 18-04108 | 05/13/2019 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Jessica Klein
Respondent(s): Anthony Germano
Respondent Lawyers(s): Anthony Joseph Germano
Arbitrator(s): Paul Allan Massaro
Hearing Site: Newark, NJ
| | |
| 18-03725 | 05/08/2019 | Claimant(s): Debra Taylor
Claimant Lawyers(s): Matthew I Penfield
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Morton S. Bunis
Hearing Site: Newark, NJ
| | |
| 17-03428 | 05/08/2019 | Claimant(s): Herman Fuchs, Mina Fuchs
Claimant Lawyers(s): Brad S. Maistrow
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Robert E. Anderson, Edward W. Morris, Sylvia Kaminsky
Hearing Site: Newark, NJ
| | $0 |
