| 17-01958 | 04/19/2018 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Barry Connell
Respondent Lawyers(s): Barry Franklin Connell
Arbitrator(s): James M. Baumann, Efren Cleofe, Joseph H. Cerame
Hearing Site: Newark, NJ
| | |
| 17-03224 | 04/16/2018 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Gregory Bruno
Respondent Lawyers(s): Gregory E Bruno
Arbitrator(s): Michael H. DuBoff
Hearing Site: Newark, NJ
| | |
| 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 |
| 17-02036 | 03/27/2018 | Claimant(s): Patrick Tierney
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 17-00188 | 02/26/2018 | Claimant(s): James Treacy, Nancy Treacy
Claimant Lawyers(s): Eric S. Hutner
Respondent(s): Edward Longridge, Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Louis H. Miron, Richard C. Antonelli, Howard Alan Grinsberg
Hearing Site: Newark, NJ
| | $300,300 |
| 17-00400 | 02/22/2018 | Claimant(s): Estate of Dorothy R. Sommerer
Claimant Lawyers(s): Kathleen R. Wall
Respondent(s): Matthew Peregoy
Respondent Lawyers(s): Matthew Earl Peregoy
Arbitrator(s): Louis H. Miron, Edward James O'Dowd, Lucille Theresa Alfano
Hearing Site: Newark, NJ
| | $0 |
| 17-02059 | 02/14/2018 | Claimant(s): Louis Tranquilli
Claimant Lawyers(s): Joel Wertman
Respondent(s): The Investment Center.
Respondent Lawyers(s): Douglas A. Wright
Arbitrator(s): Fred S. Pieroni, Paul Allan Massaro
Hearing Site: Newark, NJ
| | |
| 17-01878 | 01/12/2018 | Claimant(s): New Brunswick Theological Seminary
Claimant Lawyers(s): Richard S. Mills
Respondent(s): Victoria Vandyke
Respondent Lawyers(s): Victoria Anne Vandyke
Arbitrator(s): Linda J. Baer
Hearing Site: Newark, NJ
| | $3,229,100 |
| 16-02865 | 01/10/2018 | Claimant(s): Michael Arnold
Claimant Lawyers(s): Daniel A Horowitz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Thomas A. Linthorst
Arbitrator(s): Carol Maria Luttati
Hearing Site: Newark, NJ
| | |
| 17-02405 | 01/10/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Ellen Donnelly
Respondent Lawyers(s): Ellen Jane Donnelly
Arbitrator(s): Sam Antar
Hearing Site: Newark, NJ
| | |
