| 18-02383 | 04/10/2019 | Claimant(s): Lauren Gidley
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Christina Vourakis
Arbitrator(s): Gerald W. Hepp
Hearing Site: Buffalo, NY
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| 18-01434 | 12/13/2018 | Claimant(s): Eugene Richardson
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Ira A. Auerbach
Hearing Site: Buffalo, NY
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| 18-01194 | 11/15/2018 | Claimant(s): Kevin Gildner, Shawn Derrick, Commonwealth Financial Network
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): Kate E. DiGeronimo
Arbitrator(s): Jeffry M. Bauer, Michael P. Hennigan, Clifford C. Rohde
Hearing Site: Buffalo, NY
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| 18-00261 | 10/31/2018 | Claimant(s): John Tyczynski
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Gleacher & Company Securities., Legg Mason Wood Walker
Respondent Lawyers(s): Annis Kwok, Rosemary Francavilla
Arbitrator(s): Tracy L. Allen
Hearing Site: Buffalo, NY
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| 18-00029 | 09/14/2018 | Claimant(s): Charles LaRocco
Claimant Lawyers(s): Eric Litow
Respondent(s): Keybanc Capital Markets Inc.
Respondent Lawyers(s): Daniela Paez
Arbitrator(s): Michael J. Meeusen
Hearing Site: Buffalo, NY
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| 17-02349 | 06/26/2018 | Claimant(s): Todd Allen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Tracy L. Allen
Hearing Site: Buffalo, NY
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| 17-01778 | 11/07/2017 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Carrie L. Lathrop
Respondent(s): Terry Bahgat
Respondent Lawyers(s): Terry Dean Bahgat
Arbitrator(s): Robert J. Scafuri
Hearing Site: Buffalo, NY
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| 16-01360 | 08/17/2017 | Claimant(s): Rebecca Gillette
Claimant Lawyers(s): Michael S. Smith
Respondent(s): Dominick Ferranto, Jason Lashbrook, Edward Jones
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Anthony D. McCaffrey, Kevin R. Zehe, Ira A. Auerbach
Hearing Site: Buffalo, NY
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| 16-01568 | 07/13/2017 | Claimant(s): Louis Falvo
Claimant Lawyers(s): Peter J. Glennon
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Michael P. Hennigan, Peter A.P. Dunlop, Paul Tichauer
Hearing Site: Buffalo, NY
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| 15-01964 | 01/19/2017 | Claimant(s): Keith Condemi
Claimant Lawyers(s): Linda H. Joseph
Respondent(s): Mark Kolta
Respondent Lawyers(s): David L. Rosenthal
Arbitrator(s): Krista Gottlieb
Hearing Site: Buffalo, NY
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