| 11-03597 | 07/02/2013 | Claimant(s): Deborah Prentice
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Jennifer L. Bliss, Robert J. Allen, Rocco Michael Scanza
Hearing Site: Syracuse, NY
|  | Expungement |
| 11-02573 | 04/03/2013 | Claimant(s): Leslie Goldberg
Claimant Lawyers(s): Steven E. Cole
Respondent(s): Alan Singer, Wells Fargo Advisors
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Richard A. Scalfani, Stuart M. Schwartz, Ralph L. Halpern
Hearing Site: Syracuse, NY
| | Expungement |
| 11-04796 | 02/26/2013 | Claimant(s): Edwin Grimm
Claimant Lawyers(s): Birgitta K. Siegel
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Kenneth Dymond
Hearing Site: Syracuse, NY
| | Expungement |
| 12-02561 | 01/22/2013 | Claimant(s): Paul Weisser
Claimant Lawyers(s): Paul Alan Weisser
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Jennifer L. Bliss
Hearing Site: Syracuse, NY
| | $0 |
| 11-04637 | 11/15/2012 | Claimant(s): Edwin Utter
Claimant Lawyers(s): William A Jacobson
Respondent(s): Mark Casolo
Respondent Lawyers(s): Mark Carmen Casolo
Arbitrator(s): Kathleen Hoey Gorr
Hearing Site: Syracuse, NY
| | $41,225 |
| 11-02393 | 11/13/2012 | Claimant(s): Jean Dowe
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Stephen P. LaLonde, Karin A. Schlosser, Ramona L. Gallagher
Hearing Site: Syracuse, NY
| | $4,625 |
| 10-04364 | 08/31/2012 | Claimant(s): Mark Zaidel
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Bryant Weintraub
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Christopher C. Willett, Ramona L. Gallagher, Martin John Satalin
Hearing Site: Syracuse, NY
| | Expungement |
| 10-02616 | 07/25/2012 | Claimant(s): Pinnacle Investments
Claimant Lawyers(s): David L. Ward
Respondent(s): Anastasia Tkatschow, George Koulouris
Respondent Lawyers(s): Richard A. Roth
Arbitrator(s): Richard A. Scalfani, Stephen P. LaLonde, Edmund Viele
Hearing Site: Syracuse, NY
| | $0 |
| 11-04358 | 07/06/2012 | Claimant(s): David Lines
Claimant Lawyers(s): David Ted Lines
Respondent(s): Arthur Coffey, John Thomas Financial
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): David Buch
Hearing Site: Syracuse, NY
| | $63 |
| 11-03743 | 06/26/2012 | Claimant(s): Ronald Vulcano
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): AXA Advisors
Respondent Lawyers(s): Eileen Stassa
Arbitrator(s): Stuart M. Schwartz, Howard B. Cohen, Carl J. Disalvatore
Hearing Site: Syracuse, NY
| | $0 |
