| 09-02435 | 10/15/2010 | Claimant(s): Seymour L. Goldman, executor of the Esta
Claimant Lawyers(s): Mark D. Risk
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): Marilyn J. Salzman, Julian F. Santos, Renee La Verne Ross CFP
Hearing Site: New York, NY
|  | $0 |
| 08-01950 | 07/23/2010 | Claimant(s): Michael Caradimitropoulo
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Anthony Tricarico, The Concord Equity Group
Respondent Lawyers(s): David E. Robbins, Robert I. Rabinowitz
Arbitrator(s): Thomas Caiaffa, Julian F. Santos, Micalyn S. Harris
Hearing Site: New York, NY
| | Expungement |
| 09-02865 | 02/17/2010 | Claimant(s): Wernert Associates., Wernert Construction Management LLC
Claimant Lawyers(s): John B. Conway
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Julian F. Santos
Hearing Site: New York, NY
| | $68,828 |
| 06-02530 | 10/03/2008 | Claimant(s): Joseph A., and Judith A. Franko
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Jill A Guldin
Arbitrator(s): John B. Ryan, Julian F. Santos, Piedad A. Bernikow
Hearing Site: Philadelphia, PA
| | $300 |
