| 16-00493 | 12/09/2016 | Claimant(s): David Kode
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Stuart M. Schwartz, Carl J. Disalvatore, Ronald Francis Thompson
Hearing Site: Syracuse, NY
|  | Dismissed by Rule 12206 |
| 15-02273 | 09/16/2016 | Claimant(s): Melissa Glisson, Timothy Glisson
Claimant Lawyers(s): John Benjamin Carroll
Respondent(s): John Wolle
Respondent Lawyers(s): John Fredrick Wolle
Arbitrator(s): Michael J. Meeusen
Hearing Site: Syracuse, NY
| | $86,485 |
| 15-02131 | 03/14/2016 | Claimant(s): June Madden
Claimant Lawyers(s): June D. Madden
Respondent(s): Jeffrey Sustarsic, Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Ralph L. Halpern
Hearing Site: Syracuse, NY
| | $14,306 |
| 13-03102 | 12/17/2015 | Claimant(s): Joan Anderson
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Karin A. Schlosser
Hearing Site: Syracuse, NY
| | Expungement |
| 13-03673 | 11/25/2015 | Claimant(s): Theresa Devereux
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradely B. Rounsaville
Arbitrator(s): Robert J. Kheel
Hearing Site: Syracuse, NY
| | Expungement |
| 13-01507 | 05/15/2015 | Claimant(s): Christine Tsionas, Dimitrios Zourdos, Helen Zourdos, John Zourdos, Christine Tsionas IRA, Dimitrios Zourdos IRA, Helen Zourdos IRA, John Zourdos IRA, Helen & John Zourdos JTWROS
Claimant Lawyers(s): Adolfo Anzola
Respondent(s): Pinnacle Investments, Ridgeway & Conger.
Respondent Lawyers(s): Andrew J. Lyons, Brian M. Oubre
Arbitrator(s): Stephen T. Rodriguez, Daniel M. Mankowski, Jennifer L. Bliss
Hearing Site: Syracuse, NY
| | $258,000 |
| 14-02154 | 04/01/2015 | Claimant(s): Thomas Crandall
Claimant Lawyers(s): Thomas D. Crandall
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Ralph L. Halpern
Hearing Site: Syracuse, NY
| | $0 |
| 12-02012 | 02/13/2015 | Claimant(s): Caroline Samuel Trust by Canadaigua Nati, Samuel Family Trust by Rebecca and Richa
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Christine Samuel, Richard Oaster, Ensemble Financial Services.
Respondent Lawyers(s): George D. Sullivan, James E. Metzler, Luigi Spadafora
Arbitrator(s): Daniel M. Mankowski, Peter A.P. Dunlop, Edmund Viele
Hearing Site: Syracuse, NY
| | $1,200,000 |
| 14-00455 | 12/05/2014 | Claimant(s): Michael Petrocci, Palema Petrocci
Claimant Lawyers(s): John Benjamin Carroll
Respondent(s): Wells Fargo Advisors, Clive Buchan, Raymond Patraw
Respondent Lawyers(s): William S. Port
Arbitrator(s): Stuart M. Schwartz
Hearing Site: Syracuse, NY
| | $866 |
| 13-00131 | 11/27/2013 | Claimant(s): Carlos Moroz
Claimant Lawyers(s): Nicole Marlow-Jones
Respondent(s): Daryl Devillier, Raymond, James & Associates., Vincent Petrangelo
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): Stuart M. Schwartz
Hearing Site: Syracuse, NY
| | $39,803 |
