| 07-00642 | 03/10/2015 | Claimant(s): Morgan Stanley DW Inc.
Claimant Lawyers(s): Phillip J. Campisi
Respondent(s): David Netkin
Respondent Lawyers(s): Joel M. Wertman
Arbitrator(s): Marvin Schleyer, Michael L.B. Kaplan, Robert Alan Mayer
Hearing Site: Newark, NJ
| | |
| 13-03007 | 03/04/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Simone A. Muscarnera, Leo J. Karwejna, Paul Allan Massaro
Hearing Site: Newark, NJ
| | |
| 12-03924 | 03/02/2015 | Claimant(s): Brian Hobby
Claimant Lawyers(s): Jeffrey R. Youngman
Respondent(s): Wells Fargo Advisors, Jamie Meehan, William O'connor, Meehan Financial Group
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): Sam Antar
Hearing Site: Newark, NJ
|  | $60,000 |
| 13-01125 | 02/10/2015 | Claimant(s): Ned Gerstman, Ned Gerstman Ltd POA for Ethan Gerstman
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Piedad A. Bernikow, Kenneth J. Horowitz, Joseph H. Cerame
Hearing Site: Newark, NJ
| | Expungement |
| 13-03282 | 01/22/2015 | Claimant(s): Hartwyck at Oak Tree., JFK Health System., The Community Hospital Group.
Claimant Lawyers(s): Jay J. Rice
Respondent(s): Cain Brothers & Company
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Daniel J. McCarthy, Ariel Berschadsky, S. Charles Tabak
Hearing Site: Newark, NJ
| | Expungement |
| 13-02757 | 01/15/2015 | Claimant(s): Theresa Jacobs
Claimant Lawyers(s): Howard Rosenfield
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): Louis H. Miron, Clifford A. Harwick, Stephen L. Lister
Hearing Site: Newark, NJ
| | Expungement |
| 13-03526 | 01/14/2015 | Claimant(s): Frank Cerisano
Claimant Lawyers(s): Samuel J. Lieberman
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Gary J. Mennitt
Arbitrator(s): Michael Fischetti, Karimu F. Hill-Harvey, Jay Alan Kranis
Hearing Site: Newark, NJ
| | $2,421,660 |
| 13-03333 | 01/02/2015 | Claimant(s): John Burke
Claimant Lawyers(s): Matthew W. Hackell
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Louis R. Satriale
Arbitrator(s): S. Charles Tabak
Hearing Site: Newark, NJ
| | |
| 13-02974 | 12/30/2014 | Claimant(s): Ashraf Elghandour
Claimant Lawyers(s): Brian D. Spector
Respondent(s): James Turner, UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Charles L. Prothero, Chris P. Drucker, Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 14-01212 | 12/22/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan A. Scobie
Respondent(s): Louis Melone
Respondent Lawyers(s): Louis Michael Melone
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | |
