| 09-06623 | 07/26/2011 | Claimant(s): Richard Fahs
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Janet L. Brown, Jane Venckus Zirlis, Francis J. Pavetti
Hearing Site: Hartford, CT
|  | $82,947 |
| 08-04725 | 09/01/2010 | Claimant(s): Ronald Kline
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Richard Szuch
Arbitrator(s): Joseph L. Farrell, Edward F. Koren, Peter Edward Sheridan
Hearing Site: Philadelphia, PA
| | $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 |
| 08-00752 | 10/21/2009 | Claimant(s): John Deakin
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): James Pecoraro, John Parmigiani, J.P. Turner & Company, L.L.C., Reagan Financial Group
Respondent Lawyers(s): Compliance Officer, Jonathan A. Kurta
Arbitrator(s): Kenneth L. Stewart, Jill I. Gross, Mindi R. Parrott
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
