| 05-00015 | 05/25/2011 | Claimant(s): Walter Sherman
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): George Bevins, Patrick McDonnell, Bryn Mawr Securities Corp.
Respondent Lawyers(s): George Bevins, Patrick McDonnell
Arbitrator(s): Philip M. Marshall, Christopher C. Willett, Christopher G. Gibas
Hearing Site: Buffalo, NY
|  | $183,000 |
| 09-05971 | 03/29/2011 | Claimant(s): Dennis Gravelle
Claimant Lawyers(s): Booker T. Washington
Respondent(s): James Cummings
Respondent Lawyers(s): Carlos Ricca
Arbitrator(s): Ralph L. Halpern
Hearing Site: Buffalo, NY
| | $4,857 |
| 10-03694 | 03/25/2011 | Claimant(s): Mary Gabor
Claimant Lawyers(s): Mary Ellen Gabor
Respondent(s): Emir Culov, HSBC Securities (USA) Inc.
Respondent Lawyers(s): Meredith L. Friedman
Arbitrator(s): Ralph L. Halpern
Hearing Site: Buffalo, NY
| | $158 |
| 09-05445 | 11/11/2010 | Claimant(s): Patricia Rosati, Raymond Rosati
Claimant Lawyers(s): Raymond T Rosati
Respondent(s): Michael Bowen, HSBC Securities (USA) Inc.
Respondent Lawyers(s): Paul K. Stecker
Arbitrator(s): David Buch, Vincent Micciche, Christopher C. Willett
Hearing Site: Buffalo, NY
| | $0 |
| 09-00329 | 07/30/2010 | Claimant(s): Rohan Russell
Claimant Lawyers(s): Rohan Russell
Respondent(s): Northgate Securities.
Respondent Lawyers(s): Kenneth C. Courville
Arbitrator(s): David Buch, Jeffrey Mark Schwartz, Peter A.P. Dunlop
Hearing Site: Buffalo, NY
| | $81,500 |
| 09-05490 | 06/08/2010 | Claimant(s): Estate of Zona Mrus by Mary Wickett, Exe
Claimant Lawyers(s): David K. Silverberg
Respondent(s): Robert Vogel, Advantage Capital Corporation
Respondent Lawyers(s): Laurie Styka Bloom
Arbitrator(s): Howard B. Cohen
Hearing Site: Buffalo, NY
| | $0 |
| 09-00442 | 08/03/2009 | Claimant(s): Rohan Russell
Claimant Lawyers(s): Rohan Russell
Respondent(s): Northgate Securities Inc.
Respondent Lawyers(s): Robert Yrshus
Arbitrator(s): Elizabeth K. Norsworthy
Hearing Site: Buffalo, NY
| | $9,325 |
| 08-00160 | 03/26/2009 | Claimant(s): Michael Doran
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Ralph L. Halpern, David L. Hoffberg, Alan Kenneth Scheff
Hearing Site: Buffalo, NY
| | Stipulated Award |
| 08-00521 | 02/20/2009 | Claimant(s): Stephanie Pinto, Stephanie Pinto TTEE for Pinto Family, Stephanie Pinto TTEE of Stephen Gambino
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Daniel M. Mankowski, Ralph L. Halpern, Ronald Ripstein
Hearing Site: Buffalo, NY
| | $0 |
| 08-00997 | 10/21/2008 | Claimant(s): Ursula Marquardt
Claimant Lawyers(s): Paul Marquardt
Respondent(s): Ameriprise Financial Services., Mark Massaro
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Elizabeth K. Norsworthy
Hearing Site: Buffalo, NY
| | $38 |
