| 11-02582 | 02/10/2012 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly Davis
Respondent(s): Richard Pascucci
Respondent Lawyers(s): Richard Peter Pascucci
Arbitrator(s): Kenneth Dymond
Hearing Site: Buffalo, NY
| | |
| 10-04800 | 02/09/2012 | Claimant(s): Shawn Dailey
Claimant Lawyers(s): David K. Silverberg
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michelle E. Phillips
Arbitrator(s): Richard A. Scalfani, Frank C. Fogl, Allan H. Kaminsky
Hearing Site: Buffalo, NY
| | |
| 11-01808 | 12/05/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Gerald O'Lear
Respondent Lawyers(s): Gerald A. O'Lear
Arbitrator(s): Richard B. Ancowitz
Hearing Site: Buffalo, NY
| | |
| 10-00327 | 04/15/2011 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Jaime Baumler
Respondent Lawyers(s): David K. Silverberg
Arbitrator(s): Howard B. Cohen
Hearing Site: Buffalo, NY
| | |
| 09-02468 | 12/01/2010 | Claimant(s): David Russell
Claimant Lawyers(s): Nelson S. Torre
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Catherine S. Ryan
Arbitrator(s): Anthony Vitanza, Jacqueline W. Marshall, Ronald Ripstein
Hearing Site: Buffalo, NY
| | |
| 09-07144 | 07/08/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Anthony Dicesare
Respondent Lawyers(s): Anthony DiCesare
Arbitrator(s): Ralph L. Halpern
Hearing Site: Buffalo, NY
| | |
| 09-06192 | 04/19/2010 | Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): Noah D. Sorkin
Respondent(s): Mario Camillo
Respondent Lawyers(s): Mario J. Camillo
Arbitrator(s): Frank C. Fogl
Hearing Site: Buffalo, NY
| | |
| 09-05367 | 03/29/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Richard Pascucci
Respondent Lawyers(s): Richard Peter Pascucci
Arbitrator(s): David L. Hoffberg
Hearing Site: Buffalo, NY
| | |
| 06-04943 | 02/17/2010 | Claimant(s): Dann Neale, Kevin Cougle
Claimant Lawyers(s): Kevin J. Mirch
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Richard D. Rosenbloom, Joan B. Alexander, Frederick N.C. Jerauld
Hearing Site: Buffalo, NY
| | |
| 08-02919 | 09/01/2009 | Claimant(s): William Gurney
Claimant Lawyers(s): William H. Gurney
Respondent(s): Robert Lewis, Lewis Management Corporation
Respondent Lawyers(s): George V.C. Muscato
Arbitrator(s): David Buch, Vincent Micciche, Karin A. Schlosser
Hearing Site: Buffalo, NY
| | Expungement |
