| 17-01802 | 11/01/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Barry Connell
Respondent Lawyers(s): Barry Franklin Connell
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 17-01141 | 10/30/2017 | Claimant(s): Lawrence Catena
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Joseph H. Cerame
Hearing Site: Newark, NJ
| | |
| 16-02514 | 10/30/2017 | Claimant(s): Judith Spiniello
Claimant Lawyers(s): Ronald A. Berutti
Respondent(s): Morgan Stanley, Robert Cerasia
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Patrick J. Howley, Joseph H. Cerame, Richard C. Antonelli
Hearing Site: Newark, NJ
|  | $20,000 |
| 15-02700 | 10/13/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): T.R. Bynum
Respondent(s): John Boston
Respondent Lawyers(s): John Boston
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | |
| 17-00760 | 10/13/2017 | Claimant(s): Richard Lafferty
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Philip Levine
Hearing Site: Newark, NJ
| | |
| 16-01961 | 10/02/2017 | Claimant(s): Kamel Kazan
Claimant Lawyers(s): David T. Shivas
Respondent(s): Brian Langan, Morgan Stanley, Patrick Borrelli
Respondent Lawyers(s): Theodore Krebsbach
Arbitrator(s): Kip C. Lubcke, Kenneth J. Horowitz, James F. Rohrman
Hearing Site: Newark, NJ
| | Expungement |
| 15-03232 | 09/26/2017 | Claimant(s): Anthony Listro, Gloria Listro
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors, Richard Galgano
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Marvin L. Schuldiner
Hearing Site: Newark, NJ
| | Expungement |
| 15-01841 | 09/19/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s): Alexander Bolshem
Respondent Lawyers(s): Ethan A. Brecher
Arbitrator(s): Alan James Jacoby, Jay Alan Kranis, Sandra Holtzman
Hearing Site: Newark, NJ
| | |
| 16-03366 | 09/12/2017 | Claimant(s): Fillip Gershon
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Smitham
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | |
| 15-02459 | 08/30/2017 | Claimant(s): Andrew Reynolds, Jeremy Andres, Mark Nauman
Claimant Lawyers(s): Nikolas S. Komyati
Respondent(s): Stewart Lampert, Lampert Capital Markets Inc.
Respondent Lawyers(s): S. Randy Lampert
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
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