| 11-02971 | 12/11/2012 | Claimant(s): David Baratko
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Meredith Sharoky
Arbitrator(s): William E. Smith, Timothy J. Brown, S. Charles Tabak
Hearing Site: Newark, NJ
|  | Expungement |
| 08-02782 | 10/13/2010 | Claimant(s): Michelle Ford
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): Mark Dubel, Affinity Federal Credit Union, Affinity Financial Services, Affinity Investment Services
Respondent Lawyers(s): Mark S. Mancher
Arbitrator(s): William E. Smith, Nathan J. Minucci, Sharon A. McCloskey
Hearing Site: Newark, NJ
| | |
| 08-04020 | 07/10/2009 | Claimant(s): James Manfredonia
Claimant Lawyers(s): Brian S. Kaplan
Respondent(s): Ernest Dahlman, Simon Rose, Dahlman Rose & Company
Respondent Lawyers(s): Errol F. Margolin
Arbitrator(s): William E. Smith, Abraham Harry Bunis, Walter W. Jensen
Hearing Site: New York, NY
| | |
| 08-00025 | 07/08/2008 | Claimant(s): Vince Sullivan and Monica Sullivan
Claimant Lawyers(s): Vince Sullivan
Respondent(s): E* Trade Securities LLC
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): William E. Smith
Hearing Site: Newark, NJ
| | $163 |
| 07-02376 | 06/02/2008 | Claimant(s): Beatrice Strulowitz
Claimant Lawyers(s): Randall J. Perry
Respondent(s): Frances Goldstein, Citigroup Global Markets.
Respondent Lawyers(s): Douglas B. Appel, Joseph L. Calabrese
Arbitrator(s): Herbert Z. Geiger, William E. Smith, Daniel A. Pinkus
Hearing Site: Newark, NJ
| | $0 |
| 07-03197 | 05/29/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'elia
Respondent(s): Alan Haber
Respondent Lawyers(s): Alan Haber
Arbitrator(s): William E. Smith
Hearing Site: Newark, NJ
| | $0 |
