| 17-02102 | 06/12/2018 | Claimant(s): Joseph Grusczak, William DeGraff, Joseph Grusczak IRA, William DeGraff IRA
Claimant Lawyers(s): Jeffrey Hellman
Respondent(s): Oppenheimer & Co.., Richard Baum, Janney Montgomery Scott LLC
Respondent Lawyers(s): David L. Ward, Ralph Izzo
Arbitrator(s): Robert L. Chase, Ira A. Auerbach, David R. Foley
Hearing Site: Hartford, CT
|  | Expungement |
| 16-01558 | 06/29/2017 | Claimant(s): Richard Congel
Claimant Lawyers(s): Richard C. Engel
Respondent(s): Wells Fargo Advisors, Paul Kordziel
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Stuart M. Schwartz, Michael J. McNeil, David R. Foley
Hearing Site: Syracuse, NY
| | Expungement |
| 14-01337 | 07/08/2016 | Claimant(s): William James
Claimant Lawyers(s): Howard B. Cohen
Respondent(s): Russell Grosjean, Timothy Dembski
Respondent Lawyers(s): Eric M. Soehnlein, Russell James Grosjean
Arbitrator(s): Michael J. McNeil, Carl J. Disalvatore, David R. Foley
Hearing Site: Buffalo, NY
| | Expungement |
| 14-01901 | 03/23/2016 | Claimant(s): Dennis Urbanski
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Gregory Flemming
Respondent Lawyers(s): Gregory Flemming
Arbitrator(s): David R. Foley
Hearing Site: Buffalo, NY
| | $50,150 |
| 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 |
