| 15-00120 | 04/27/2016 | Claimant(s): Alexander Scanlon
Claimant Lawyers(s): Sanford Durmain
Respondent(s): J.P. Morgan Securities LLC
Respondent Lawyers(s): Tibor L. Nagy
Arbitrator(s): Martin Izaak, Jerome H. Levy, Annamaria Boccia Smith
Hearing Site: New York, NY
|  | $0 |
| 14-02572 | 03/09/2016 | Claimant(s): Camilo Betancourt, Luz Betancourt
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Annamaria Boccia Smith, Ellyn S. Roth, Alice Holly Oshins
Hearing Site: New York, NY
| | Expungement |
| 13-01555 | 10/30/2013 | Claimant(s): Philip Deng
Claimant Lawyers(s): Philip Y. Deng
Respondent(s): optionsXpress.
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | $88 |
| 11-03559 | 07/23/2013 | Claimant(s): Varoujan Khorozian
Claimant Lawyers(s): Matthew M. Keshisian
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Leo Kogan
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | $0 |
| 11-02062 | 05/20/2013 | Claimant(s): Presbytery of New York City.
Claimant Lawyers(s): Steven N. Fuller
Respondent(s): Charles Helme, Matrix Capital Group., Pinnacle Associates Ltd
Respondent Lawyers(s): Brian A. Carlis, Howard B. Sirota
Arbitrator(s): Robert J. Kheel, Dennis M. Pape, Annamaria Boccia Smith
Hearing Site: New York, NY
| | $0 |
| 11-01984 | 04/22/2013 | Claimant(s): Spartan Marketing Limited
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn Dietrich Perreault
Arbitrator(s): Robert J. Kheel, Edward Buscemi, Annamaria Boccia Smith
Hearing Site: New York, NY
| | Expungement |
| 11-00098 | 06/30/2011 | Claimant(s): Edi Franceschini, Lucinda Franceschini
Claimant Lawyers(s): Edi Franceschini
Respondent(s): TIAA-CREF Individual & Institutional Svc
Respondent Lawyers(s): Carranza M. Pryor
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | $163 |
| 09-06134 | 12/15/2010 | Claimant(s): Kenneth McKenna
Claimant Lawyers(s): Joseph A. Granich
Respondent(s): Mark Casolo, Westrock Advisors.
Respondent Lawyers(s): Andrew Shapiro, Mark Carmen Casolo
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Albany, NY
| | $25,500 |
| 09-04494 | 11/29/2010 | Claimant(s): Peter Derby
Claimant Lawyers(s): Thomas M. Mullaney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Richard Grodin
Respondent Lawyers(s): Coren H. Stern
Arbitrator(s): Alan S. Braunshweiger, Lincoln W. Craighead, Annamaria Boccia Smith
Hearing Site: New York, NY
| | $0 |
