| 15-03222 | 07/27/2016 | 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
| | |
| 16-00529 | 07/27/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Lawrence Bogar
Respondent Lawyers(s): Lawrence K. Bogar
Arbitrator(s): Neal D. Baker
Hearing Site: Newark, NJ
| | |
| 15-01936 | 06/30/2016 | Claimant(s): Joseph Pica
Claimant Lawyers(s): Richard De Vita
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Robert R. Salman, Richard C. Antonelli, Brian J. Strum
Hearing Site: Newark, NJ
|  | Expungement |
| 14-03401 | 06/17/2016 | Claimant(s): Marek Tchorzewski
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Louis H. Miron, Sherrill Ruth Austin, Jay Alan Kranis
Hearing Site: Newark, NJ
| | $27,927 |
| 15-01053 | 06/14/2016 | Claimant(s): J.P. Morgan Securities, JPMorgan Chase Bank, N.A.
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Jason Meyer, Morgan Stanley, Lori Rabinowitz, Mead Briggs, Michael Pudlak, Michael Reynolds, Steven Christensen
Respondent Lawyers(s): Jonathan C. Thau, Thomas J. Momjian
Arbitrator(s): Kenneth J. Horowitz, Leo J. Karwejna, Sirena Terr
Hearing Site: Newark, NJ
| | |
| 15-01218 | 05/11/2016 | Claimant(s): Gary Penner & Leslie-Ann Furie JTWROS, Gary Penner Profit Sharing Plan, Leslie-Ann Furie Profit Sharing Plan
Claimant Lawyers(s): Gary Penner
Respondent(s): Edward Moldaver, James Lee, Mark Stevenson
Respondent Lawyers(s): David Robbins, Jonathan L. Adler
Arbitrator(s): Karimu F. Hill-Harvey, Catherine Stewart, Marvin L. Schuldiner
Hearing Site: Newark, NJ
| | Expungement |
| 14-01495 | 05/03/2016 | Claimant(s): Brian Miller
Claimant Lawyers(s): Jay J. Freireich
Respondent(s): David Briegs, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Julian F. Santos, Simone A. Muscarnera, Marc B Adelman
Hearing Site: Newark, NJ
| | Expungement |
| 14-03492 | 04/14/2016 | Claimant(s): Frank Garcia
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas Briody
Arbitrator(s): Robert R. Salman, Joseph H. Cerame, Marvin L. Schuldiner
Hearing Site: Newark, NJ
| | $300 |
| 14-01687 | 04/11/2016 | Claimant(s): Charles Lieberman
Claimant Lawyers(s): Jessica Levine
Respondent(s): Joan and Todd Donahue
Respondent Lawyers(s): Todd Donohue
Arbitrator(s): Clifford A. Harwick, Joan M. Traub, Edith M. Novack
Hearing Site: Newark, NJ
| | $0 |
| 15-00707 | 04/08/2016 | Claimant(s): Estate of Florence Levine
Claimant Lawyers(s): Michael D. Handelsman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): John A. Scudiero, Robert S. Getman, Michael F. Greco
Hearing Site: Newark, NJ
| | Dismissed by Rule 12504 |
