| 18-03581 | 08/05/2019 | Claimant(s): Morgan Stanley, Joseph Goscienski
Claimant Lawyers(s): Heather B. Middleton
Respondent(s): Kamel Kazan
Respondent Lawyers(s): Kamel Kazan
Arbitrator(s): Fred S. Pieroni, Robert E. Anderson, Carl Mario Martorano
Hearing Site: Newark, NJ
|  | Expungement |
| 18-04425 | 08/01/2019 | Claimant(s): Kenneth Levene
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Catherine Stewart
Hearing Site: Newark, NJ
| | |
| 15-02044 | 07/26/2019 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Christopher Caputo
Respondent Lawyers(s): Timothy W. Bergin
Arbitrator(s): Paul Allan Massaro, Ronald J. Colombo, Jay Alan Kranis
Hearing Site: Newark, NJ
| | |
| 18-03548 | 07/23/2019 | Claimant(s): Andrew Kevlahan
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Wells Fargo Clearing Services, Josephthal & Co..
Respondent Lawyers(s): John T. McGuire, Nuviah Shirazi
Arbitrator(s): Marvin L. Schuldiner
Hearing Site: Newark, NJ
| | |
| 18-04240 | 07/03/2019 | Claimant(s): Gerald Sharpe
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): First Montauk Securities Corp., J.W. Barclay & Co.., Paragon Capital Markets.
Respondent Lawyers(s): Danny Levine, John Bruno, President or Compliance Officer
Arbitrator(s): Denise L. Quarles
Hearing Site: Newark, NJ
| | |
| 18-02137 | 06/27/2019 | Claimant(s): David Wren
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Morgan Stanley & Co., Citigroup Global Markets., Cetera Advisors
Respondent Lawyers(s): David I. Hantman, Jeremy S. Winer, Jeremy Carr
Arbitrator(s): Joseph H. Cerame
Hearing Site: Newark, NJ
| | |
| 17-00716 | 06/24/2019 | Claimant(s): Christopher Jansen
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): Jessica E. Levine
Arbitrator(s): Joseph H. Cerame, F. Peter Phillips, Bruce Edward Walenczyk
Hearing Site: Newark, NJ
| | |
| 18-03709 | 06/24/2019 | Claimant(s): Walter Kukowski
Claimant Lawyers(s): Robert Knuts
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 18-03729 | 06/20/2019 | Claimant(s): Dulcita Segal, Focus For Health Foundation
Claimant Lawyers(s): Barry Segal
Respondent(s): Alexander Aiello, Wells Fargo Advisors
Respondent Lawyers(s): Jeffery Rodgers
Arbitrator(s): Michael Fischetti
Hearing Site: Newark, NJ
| | Expungement |
| 18-02161 | 06/05/2019 | Claimant(s): Peter Calderon
Claimant Lawyers(s): Peter J. Calderon
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
| | $0 |
