| 14-00941 | 12/18/2014 | Claimant(s): Rodney Herrmann
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
|  | $300 |
| 12-00963 | 12/11/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Andrew Donofrio
Respondent Lawyers(s): Andrew Donofrio
Arbitrator(s): S. Charles Tabak, Paul G. Garjian, Ellen Dolores Walsh
Hearing Site: Newark, NJ
| | |
| 11-03024 | 12/08/2014 | Claimant(s): Natasha Jiovino, Route 36 East LLC
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Michael Fischetti, Micalyn S. Harris, Marvin L. Schuldiner
Hearing Site: Newark, NJ
| | Expungement |
| 13-03045 | 12/04/2014 | Claimant(s): Lewis Markowitz
Claimant Lawyers(s): Lewis M. Markowitz
Respondent(s): Morgan Stanley, Philip Yellovich
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | $5,467 |
| 13-02265 | 12/01/2014 | Claimant(s): Irmgard Geddes
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): NFP Securities.
Respondent Lawyers(s): Robin Corwin Campbell
Arbitrator(s): Cynthia H. Plishtin, Sam Antar, Jay Alan Kranis
Hearing Site: Newark, NJ
| | Dismissed by Rule 12206/12504 |
| 12-01883 | 11/19/2014 | Claimant(s): Anthony Locantore
Claimant Lawyers(s): Douglas J. Kinz
Respondent(s): SII Investments.
Respondent Lawyers(s): Roblyn Silvermintz
Arbitrator(s): Ellen R. Badinelli, Bernard M. Levine, Joseph Michael Dougherty
Hearing Site: Newark, NJ
| | |
| 13-03479 | 11/12/2014 | Claimant(s): Louis D'Andrea
Claimant Lawyers(s): James F. Keegan
Respondent(s): GMS Group Holdings Corp., The GMS Group
Respondent Lawyers(s): Matthew E. Lipman
Arbitrator(s): Edward W. Morris, Jay Alan Kranis, Erica Bunin
Hearing Site: Newark, NJ
| | |
| 13-00323 | 11/04/2014 | Claimant(s): Bruce Kilby, Gail Kilby
Claimant Lawyers(s): Albert R. Murray
Respondent(s): Anthony Diaz
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Abraham Harry Bunis, Marilyn Chin, Joseph Antim Galati
Hearing Site: Newark, NJ
| | $219,940 |
| 12-02191 | 10/23/2014 | Claimant(s): Sarah Metzinger
Claimant Lawyers(s): Robert S. Moraff
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Edward W. Morris, Richard C. Antonelli, Jay Alan Kranis
Hearing Site: Newark, NJ
| | Expungement |
| 13-00486 | 10/21/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Brian Burns, Christopher Kete, Michael Marchiano, William Shinners
Respondent Lawyers(s): Alan S. Brodherson, Michael S. Kasanoff
Arbitrator(s): Mitchell S. Friedman, Bertrand M. Lanchner, Chris P. Drucker
Hearing Site: Newark, NJ
| | |
