| 17-03157 | 05/15/2018 | Claimant(s): Evelyn Capone, Evelyn A. Capone 1997 Trust
Claimant Lawyers(s): Ronald Capone
Respondent(s): Shearman, Ralston Inc.
Respondent Lawyers(s): Douglas P. Ralston
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
|  | $163 |
| 17-01608 | 04/19/2018 | Claimant(s): John A. Pacifico Roth IRA
Claimant Lawyers(s): John Pacifico
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | $0 |
| 16-00188 | 04/05/2018 | Claimant(s): Francine Sorkin Segal
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Catherine Stewart, Robert E. Anderson, Veronica Ann Williams
Hearing Site: Newark, NJ
| | Expungement |
| 15-01481 | 01/31/2018 | Claimant(s): Eunice Becker
Claimant Lawyers(s): Frank R. Schirripa
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stuart Daniels
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Ruthann Granito, Sidney N. Weiss, Robert E. Anderson
Hearing Site: New York, NY
| | Expungement |
| 15-01027 | 11/22/2017 | Claimant(s): Madeline Garramone
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Glenn King, Royal Alliance Associates.
Respondent Lawyers(s): Glenn R. King, Steven E. Mellen
Arbitrator(s): Robert E. Anderson, Robert T. Costello, Jay Alan Kranis
Hearing Site: Newark, NJ
| | $200,300 |
| 15-03141 | 11/15/2017 | Claimant(s): Ann Genovesi, Joseph Genovesi, CUST FPO Joseph Genovesi Jr. IRRA
Claimant Lawyers(s): Jeffrey Barclay
Respondent(s): Matthew Schulman, Vandham Securities Corp.
Respondent Lawyers(s): Douglas V. Sanchez, Matthew P. Schulman
Arbitrator(s): Richard D. Chusid, Robert E. Anderson, Lawrence H. Teich
Hearing Site: Newark, NJ
| | $0 |
| 12-02759 | 07/28/2017 | Claimant(s): Peter Deutsch, William Deutsch
Claimant Lawyers(s): Howard Graff, Rachael Kierych
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Fred Shinagel, Paul S. Biederman, Robert E. Anderson
Hearing Site: New York, NY
| | $0 |
| 15-03169 | 07/20/2017 | Claimant(s): Mary Jean Negri
Claimant Lawyers(s): John M. Breslin
Respondent(s): Alan Palazzo
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Fred S. Pieroni, Robert E. Anderson, Stephen M. Plotnick
Hearing Site: Newark, NJ
| | $0 |
| 16-00913 | 07/19/2017 | Claimant(s): Daniel Riosa, Maria Riosa
Claimant Lawyers(s): Maria Riosa
Respondent(s): Mary Wise
Respondent Lawyers(s): M. David Sayid
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | $0 |
| 16-00938 | 06/21/2017 | Claimant(s): James Khezrie, Joseph Khezrie, E & J Lawrence Corporation
Claimant Lawyers(s): Adam Gana
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Laura Carraher, Robert E. Anderson, Nancy Kramer
Hearing Site: New York, NY
| | Expungement |
