18-00613 | 02/27/2020 | Claimant(s): Lyle LaMothe Claimant Lawyers(s): Paul W. Thomas Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jacqueline R. Meyers Arbitrator(s): Mary Lou McGanney, Terrance J. Nolan, Michael J. Fleming Hearing Site: New York, NY
| | Dismissed by Rule 12206/12504 |
16-00282 | 05/16/2017 | Claimant(s): Howard Shapiro, Marcia Shapiro Claimant Lawyers(s): David Edgar Bamberger Respondent(s): Wachovia Securities Financial Network Respondent Lawyers(s): Alan S. Rafterman Arbitrator(s): Stephen M. Gross, Mary Lou McGanney, William James Cortellessa Hearing Site: New York, NY
| | Expungement |
15-01932 | 01/06/2017 | Claimant(s): Paulomi Agashiwala Claimant Lawyers(s): Samuel J. Lieberman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Giusti, Sergio Rosa Respondent Lawyers(s): Regina Pepe Martorana Arbitrator(s): Shelley Teitelbaum, Mary Lou McGanney, Susan Jane Harrigan Hearing Site: New York, NY
| | Expungement |
13-03115 | 01/30/2015 | Claimant(s): Barry Mankowitz, Barry J. Mankowitz, M.D. IRA Claimant Lawyers(s): Edward A. Paltzik Respondent(s): Morgan Stanley, Morgan Stanley & Co. Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): Lynne M. Reid-McQueen, Mary Lou McGanney, Louis P. Wagman Hearing Site: New York, NY
| | $202,961 |
12-03588 | 08/05/2014 | Claimant(s): Allyson Silverman, Glenn Edelman Claimant Lawyers(s): August Iorio Respondent(s): UBS Financial Services Inc., Morgan Stanley Respondent Lawyers(s): A.J. Borelli, Christine A. Kendrick Arbitrator(s): Madelon M. Rosenfeld, Mary Lou McGanney, Amy Jill Baranoff Hearing Site: New York, NY
| | Expungement |
12-00813 | 12/20/2013 | Claimant(s): Gary Moye, Joel Vanblerkom Claimant Lawyers(s): August M. Lorio Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): William Montgomery Arbitrator(s): Bernard A. Friedman, Mary Lou McGanney, John Caracciolo Hearing Site: New York, NY
| | Expungement |