| 15-03079 | 10/11/2018 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Brandon Riley
Respondent(s): Gabriel Block
Respondent Lawyers(s): Gabriel Block
Arbitrator(s): Richard D. Chusid, Neal D. Baker, Bryan David Glass
Hearing Site: New York, NY
| | |
| 17-01616 | 12/20/2017 | Claimant(s): Ira Walker
Claimant Lawyers(s): David E. Robbins
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Chaim A. Levin, Neal D. Baker, Gregory James Libertiny
Hearing Site: Newark, NJ
| | |
| 16-01209 | 07/19/2017 | Claimant(s): Tullett Prebon Financial Services LLC
Claimant Lawyers(s): Jonathan Stoler
Respondent(s): Andrew Arnold, Bay Crest Partners
Respondent Lawyers(s): Jed L. Marcus, Kenneth J. Rubinstein
Arbitrator(s): Neal D. Baker, Jeremiah John O'Connell, Lawrence Williams
Hearing Site: Newark, NJ
| | |
| 15-02855 | 03/24/2017 | Claimant(s): Elyse Spialter, Howard Spialter
Claimant Lawyers(s): Peter S. Pearlman
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Linda J. Baer, Neal D. Baker
Hearing Site: Newark, NJ
|  | $19,478 |
| 15-00779 | 04/05/2016 | Claimant(s): R. Seelaus & Co..
Claimant Lawyers(s): Matthew D. Janssen
Respondent(s): Michael Cornell
Respondent Lawyers(s): Michael D. Mezzacca
Arbitrator(s): Walter C. Parrish, Morton S. Bunis, Neal D. Baker
Hearing Site: Newark, NJ
| | |
| 11-02169 | 02/17/2016 | Claimant(s): James Cady
Claimant Lawyers(s): Kevin E. Barber
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Marvin Schleyer, Neal D. Baker, Michael A. Ruderman
Hearing Site: Newark, NJ
| | |
| 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
| | |
| 10-00860 | 11/17/2011 | Claimant(s): Christopher Puglisi
Claimant Lawyers(s): Phil Aidikoff
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Edith M. Novack, Margaret Leggett Tarver, Neal D. Baker
Hearing Site: Newark, NJ
| | $707,134 |
| 10-03876 | 06/28/2011 | Claimant(s): Keith Minnema
Claimant Lawyers(s): David E. Robbins
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Walter A. Kapuscinski, Morton S. Bunis, Neal D. Baker
Hearing Site: Newark, NJ
| | Expungement |
| 06-05282 | 02/29/2008 | Claimant(s): Laura Franzese, Pat Franzese
Claimant Lawyers(s): David M. White
Respondent(s): Carlin Equities
Respondent Lawyers(s): Andrew P. Weiss
Arbitrator(s): Harvey Barrison, John J. Witkowski, Neal D. Baker
Hearing Site: New York, NY
| | |
