| 19-01487 | 01/21/2020 | Claimant(s): Joseph Rodriguez
Claimant Lawyers(s): Mitra E. Niknam
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Mitra E. Niknam
Arbitrator(s): Louis H Miron
Hearing Site: Newark, NJ
| | |
| 17-02799 | 01/07/2020 | Claimant(s): Daniel Motherway
Claimant Lawyers(s): Daniel P. Motherway
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony Borrelli
Arbitrator(s): Charles A. Crocco, Robert E. Anderson, Stephen L. Lister
Hearing Site: Newark, NJ
| | |
| 18-03769 | 12/06/2019 | Claimant(s): Paul Houle
Claimant Lawyers(s): Lars Soreide
Respondent(s): IBN Financial Services.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Newark, NJ
|  | Dismissed by Rule 12206/12504 |
| 19-00750 | 12/05/2019 | Claimant(s): Jeffrey Heinel
Claimant Lawyers(s): Joel Wertman
Respondent(s): The Investment Center.
Respondent Lawyers(s): Douglas A. Wright
Arbitrator(s): Jack Friedman, Marvin L. Schuldiner, Richard Morse
Hearing Site: Newark, NJ
| | |
| 19-01705 | 12/05/2019 | Claimant(s): AXA Advisors, AXA Network
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): David Schrank
Respondent Lawyers(s): David Jay Schrank
Arbitrator(s): Jack Friedman
Hearing Site: Newark, NJ
| | |
| 19-01357 | 12/03/2019 | Claimant(s): Alexander Napoli
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
| | |
| 19-00964 | 11/19/2019 | Claimant(s): Lee Tockman
Claimant Lawyers(s): Gordana Schifanelli
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jennifer G. Chawla
Arbitrator(s): Julian F. Santos, Sandralin J. Kiss, Lisa Diane Love
Hearing Site: Newark, NJ
| | |
| 17-03381 | 11/19/2019 | Claimant(s): J. Kirby Fowler, Patrica Fowler, J. Kirby & Patricia O. Fowler Irr. Trust
Claimant Lawyers(s): Michael W. Starr
Respondent(s): John McGinty, AXA Advisors
Respondent Lawyers(s): Cheryl Howard, Dennis Dice
Arbitrator(s): James M. Rhodes, Bryan David Glass
Hearing Site: Newark, NJ
| | $0 |
| 19-00130 | 11/13/2019 | Claimant(s): Joseph Glodek
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation, William Scott & Co. L.L.C.
Respondent Lawyers(s): Fred N. Knopf, Robert C. Hess
Arbitrator(s): Veronica Ann Williams
Hearing Site: Newark, NJ
| | |
| 18-03753 | 10/29/2019 | Claimant(s): Ann Marie Gallagher
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | $8,100 |
