| 11-00508 | 10/19/2012 | Claimant(s): Michael Pascazi
Claimant Lawyers(s): Michael S. Pascazi
Respondent(s): Citigroup Global Markets., Morgan Stanley, Richard Divenuto, Salomon Smith Barney Inc.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Pamela H. Roderick, Allan E. Johnson, Richard Gee
Hearing Site: New York, NY
|  | Expungement |
| 11-03241 | 02/22/2012 | Claimant(s): Heather Letts, Lindsey Abbott, Theresa Thompson
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Pamela H. Roderick
Hearing Site: Birmingham, AL
| | $34,160 |
| 09-06264 | 08/02/2011 | Claimant(s): Judith Melzer, The Estate of Shephard W. Melzer
Claimant Lawyers(s): Mark Sauchelli
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Nancy Matta
Respondent Lawyers(s): Theodore A. Krebsbach
Arbitrator(s): Pamela H. Roderick, Catherine I. Gulevich, William P. Laino
Hearing Site: New York, NY
| | Expungement |
| 09-01481 | 06/10/2010 | Claimant(s): C. Albert Parente and Julia Parente
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Steven G. Leventhal
Arbitrator(s): Pamela H. Roderick, William P. Laino, Judith C. Greene
Hearing Site: New York, NY
| | $0 |
| 09-01757 | 05/24/2010 | Claimant(s): Julie Gerowitz
Claimant Lawyers(s): Charles R. Jacob
Respondent(s): Alan Ulan, Citigroup Global Markets., Michael Lee
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Anthony Marchese, Pamela H. Roderick, David R. Foley
Hearing Site: New York, NY
| | $180,000 |
| 09-01156 | 03/12/2010 | Claimant(s): Abraham Soldaner
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): James J. Fishman, Pamela H. Roderick, Frank Irizarry
Hearing Site: New York, NY
| | $0 |
| 08-03999 | 06/19/2009 | Claimant(s): Louis Basel, Penelope Basel
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Wachovia Securities, Neophytos Ganiaris
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): Paul T. Green, Pamela H. Roderick, Judith P. Brooks
Hearing Site: New York, NY
| | $60,000 |
| 07-00476 | 04/29/2008 | Claimant(s): Est. of Thomas H. Piccarreto by Bentti
Claimant Lawyers(s): Douglas Moyal
Respondent(s): Great Eastern Securities.
Respondent Lawyers(s): Derick Johnson
Arbitrator(s): Pamela H. Roderick, Evonne W.J. Tolbert, Mary L. Merkle
Hearing Site: New York, NY
| | $55,686 |
| 07-00312 | 11/09/2007 | Claimant(s): The Estate of George Mallouk
Claimant Lawyers(s): John T. McNamara
Respondent(s): Citigroup Global Markets., Otto Betz III
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Pamela H. Roderick, Bernard Korman, Bruce Alan Whiteford
Hearing Site: New York, NY
| | $20,000 |
