| 17-00478 | 08/23/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Anthony Marino
Respondent Lawyers(s): Anthony Joseph Marino
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
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| 17-00394 | 08/17/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Robert O'Herlihy
Respondent Lawyers(s): Robert Frances O'Herlihy
Arbitrator(s): Catherine Stewart
Hearing Site: Newark, NJ
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| 17-00932 | 08/09/2017 | Claimant(s): Charles Connant
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Morton S. Bunis
Hearing Site: Newark, NJ
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| 17-00366 | 08/07/2017 | Claimant(s): National Planning Corporation
Claimant Lawyers(s): Kate E DiGeronimo
Respondent(s): Robert Grossman
Respondent Lawyers(s): Robert Keith Grossman
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
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| 15-03169 | 07/20/2017 | Claimant(s): Mary Jean Negri
Claimant Lawyers(s): John M. Breslin
Respondent(s): Alan Palazzo
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Fred S. Pieroni, Robert E. Anderson, Stephen M. Plotnick
Hearing Site: Newark, NJ
|  | $0 |
| 16-01209 | 07/19/2017 | Claimant(s): Tullett Prebon Financial Services LLC
Claimant Lawyers(s): Jonathan Stoler
Respondent(s): Andrew Arnold, Bay Crest Partners
Respondent Lawyers(s): Jed L. Marcus, Kenneth J. Rubinstein
Arbitrator(s): Neal D. Baker, Jeremiah John O'Connell, Lawrence Williams
Hearing Site: Newark, NJ
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| 16-00913 | 07/19/2017 | Claimant(s): Daniel Riosa, Maria Riosa
Claimant Lawyers(s): Maria Riosa
Respondent(s): Mary Wise
Respondent Lawyers(s): M. David Sayid
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | $0 |
| 16-01431 | 07/07/2017 | Claimant(s): Bonnie Caris, Stanley Caris
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Jason Watson
Respondent Lawyers(s): Jason R. Watson
Arbitrator(s): Philip Levine
Hearing Site: Newark, NJ
| | Expungement |
| 17-00571 | 07/03/2017 | Claimant(s): First Standard Financial Company Llc
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Joseph Degregorio
Respondent Lawyers(s): Joseph Orazio Degregorio
Arbitrator(s): Peter L. Michaelson
Hearing Site: Newark, NJ
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| 17-00343 | 06/19/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Kenneth Helman
Respondent Lawyers(s): Kenneth Michael Helman
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: Newark, NJ
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