| 22-02893 | 01/17/2024 | Claimant(s): Daniel Walter
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Richard W. Dissen
Hearing Site: Buffalo, NY
|  | Expungement |
| 19-01541 | 12/17/2021 | Claimant(s): Michael Fetzner
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Edward Rudiger, Kelli Mezzatesta, Reid & Rudiger LLC
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): James S. Parker, Jeffrey M. Bain, Clifford C. Rohde
Hearing Site: Buffalo, NY
| | $131,855 |
| 19-02215 | 06/02/2021 | Claimant(s): John Gorsline, Susan Rhodes-Greene
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Next Financial Group.
Respondent Lawyers(s): John Hitchings
Arbitrator(s): Barry Goldman, Gerald W. Hepp, Joseph Maron Hanna
Hearing Site: Buffalo, NY
| | Expungement |
| 17-01847 | 03/18/2021 | Claimant(s): Judith Rappold as Co-Guardian, Mark Rappold as Co-Guardian
Claimant Lawyers(s): Joseph J. Ranni
Respondent(s): Eric Gawron, Allstate Financial Services
Respondent Lawyers(s): Samantha Tesser Haimo
Arbitrator(s): Robert J. Scafuri, Jeffrey M. Bain, Patrick M. Markey
Hearing Site: Buffalo, NY
| | $400,425 |
| 19-03321 | 01/25/2021 | Claimant(s): John Holborn
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): David Shapiro, CNL Securities Corp., Cadaret, Grant & Co..
Respondent Lawyers(s): David G. Buffa, Jonathan E. Green
Arbitrator(s): Tracy L. Allen, Kathleen P. Helbig-Hannan, Gerald Grace
Hearing Site: Buffalo, NY
| | Dismissed by Rule 12206 |
| 18-04139 | 01/22/2021 | Claimant(s): Jody Chesko, Richard Dorr, Jody Chesko Irrevocable Trust, Richard J. Dorr Irrev. Life Ins. Trust
Claimant Lawyers(s): Kevin T. O'Brien
Respondent(s): Susan Coriale, GWN, Securities Inc.
Respondent Lawyers(s): Erin Maddocks
Arbitrator(s): Howard B. Cohen, Gerald W. Hepp, Ronald F Thompson
Hearing Site: Buffalo, NY
| | Expungement |
| 18-01381 | 02/12/2020 | Claimant(s): Jesse Erdle
Claimant Lawyers(s): Kenneth W. Africano
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John Stewart
Arbitrator(s): Tracy L. Allen, Ralph L. Halpern, L. Paul Kehoe
Hearing Site: Buffalo, NY
| | $0 |
| 18-01457 | 11/01/2019 | Claimant(s): Elizabeth Jachles
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): John C. Aten, William Joseph Caprathe, Gary E Vickers
Hearing Site: Buffalo, NY
| | $0 |
| 18-02708 | 07/15/2019 | Claimant(s): Jesse Erdle, Lissette Erdle
Claimant Lawyers(s): Jesse Erdle
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John K. Gisleson
Arbitrator(s): Jeffry M. Bauer, John C. Aten, Paul K. Stecker
Hearing Site: Buffalo, NY
| | $0 |
| 16-03454 | 04/25/2019 | Claimant(s): James Fitzpatrick, Sandra Fitzpatrick, The Fitzpatrick Family Trust
Claimant Lawyers(s): Jason J. Kane
Respondent(s): AXA Advisors
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Jeffrey M. Bain, Thomas E. Webb, Krista Gottlieb
Hearing Site: Buffalo, NY
| | $3,181,830 |
