| 12-02002 | 04/23/2015 | Claimant(s): Grace Financial Group LLC
Claimant Lawyers(s): Timothy P. Kebbe
Respondent(s): Apex Clearing Corporation, Penson Financial Services.
Respondent Lawyers(s): John P. Bevilacqua, Mark G. Hanchet
Arbitrator(s): W. Jeffrey Weinlandt, Renee La Verne Ross CFP, Richard Bryce Nesson
Hearing Site: New York, NY
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| 05-06051 | 01/16/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Sean Daly
Respondent Lawyers(s): Sean M. Daly
Arbitrator(s): Linda S. Cole, Joshua Mark Zucker, Renee La Verne Ross CFP
Hearing Site: New York, NY
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| 06-02865 | 04/23/2008 | Claimant(s): Frank Palumbo
Claimant Lawyers(s): Scott A. Lucas
Respondent(s): Banc of America Investment Services Inc., Quick and Reilly., Bank of America N.A.a/k/a BOA Corporat, Fleet National Bank
Respondent Lawyers(s): Thomas J. Momjian
Arbitrator(s): Burton M. Fendelman, Renee La Verne Ross CFP, Alan Steven Brodherson
Hearing Site: New York, NY
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