| 12-00416 | 04/01/2014 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Elizabeth A. Scoditti
Respondent(s): Steven Greenberg
Respondent Lawyers(s): Peter M. Khrinenko
Arbitrator(s): Cynthia H. Plishtin
Hearing Site: Newark, NJ
| | |
| 12-02409 | 03/27/2014 | Claimant(s): Wallace Truszkowski
Claimant Lawyers(s): Wallace Truszkowski
Respondent(s): Craig Escobar, Patrick Darby, Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky, Ross David Carmel
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
|  | Expungement |
| 13-02201 | 03/26/2014 | Claimant(s): Joel Steinman
Claimant Lawyers(s): Joel Steinman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jill M. Del Monico
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | $0 |
| 12-01822 | 03/19/2014 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Harry D. Frisch
Respondent(s): Kevin Saia
Respondent Lawyers(s): Kevin Saia
Arbitrator(s): Kenneth J. Horowitz, Gerald Joseph Coughlin, Jonathan Christian Byron
Hearing Site: Newark, NJ
| | |
| 13-02157 | 03/19/2014 | Claimant(s): Xing Li
Claimant Lawyers(s): Xing Li
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Julian F. Santos
Hearing Site: Newark, NJ
| | $11,326 |
| 13-00125 | 03/14/2014 | Claimant(s): Cheraldine Oliver, Joseph Mucerino, THE CHERALDINE OLIVER LIVING TRUST, THE JOSEPH MUCERNO LIVING TRUST
Claimant Lawyers(s): Devanshu L. Modi
Respondent(s): Citigroup Global Markets., Mark Lichtenfeld
Respondent Lawyers(s): Susan E. Mulholland
Arbitrator(s): Philip Levine, Kenneth J. Horowitz, Marilyn Chin
Hearing Site: Newark, NJ
| | Expungement |
| 13-00839 | 03/13/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): John Mikhael
Respondent Lawyers(s): John Mikhael
Arbitrator(s): Neal D. Baker, Leslie Ruth Nydick, Jeffrey H. Rosenthal
Hearing Site: Newark, NJ
| | |
| 12-04358 | 03/10/2014 | Claimant(s): Eugenie Scarito
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Bernard M. Levine, Linda J. Baer, Stephen L. Lister
Hearing Site: Newark, NJ
| | Expungement |
| 13-02678 | 03/05/2014 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Edward Murphy
Respondent Lawyers(s): Edward Thomas Murphy
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | |
| 12-02032 | 03/03/2014 | Claimant(s): Daniel Baron
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Adam Riback, National Securities Corporation
Respondent Lawyers(s): Richard A. Roth
Arbitrator(s): Fred S. Pieroni, Barbara Weisman, Joan Marie Chiusano
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
