| 14-00393 | 02/26/2016 | Claimant(s): Donna Brody
Claimant Lawyers(s): Donna L. Brody
Respondent(s): Legg Mason Wood Walker, Morgan Stanley, Patricia Walsh
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Janet L. Brown, Abigail J. Pessen, Marissa A. Santangelo
Hearing Site: Hartford, CT
|  | Dismissed by Rule 12206 |
| 14-03582 | 12/21/2015 | Claimant(s): Loretta Gargiulo, The Estate of John Gargiulo
Claimant Lawyers(s): Philip H. Seelig
Respondent(s): Patrick D'Agostino, Boenning & Scattergood.
Respondent Lawyers(s): Michael J. Broadbent
Arbitrator(s): James J. Fishman, Abigail J. Pessen, Vivian Berger
Hearing Site: New York, NY
| | Expungement |
| 12-01882 | 10/29/2013 | Claimant(s): Deanna Shanab, Paul Shanab
Claimant Lawyers(s): David W. Sparrow
Respondent(s): Sandgrain Securities LLC
Respondent Lawyers(s): Anna Pia D. Nicolas
Arbitrator(s): Leonard M. Bakal, Abigail J. Pessen, Regina Irena Arnold Mullen
Hearing Site: New York, NY
| | $91,105 |
| 11-00753 | 06/15/2012 | Claimant(s): William Heinzerling
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Matthew C. Plant
Arbitrator(s): Romaine L. Gardner, Abigail J. Pessen, Maya Steinitz
Hearing Site: New York, NY
| | $0 |
| 10-02215 | 12/12/2011 | Claimant(s): Frederick Horn
Claimant Lawyers(s): Janice L. Malecki
Respondent(s): James Carey, UBS Financial Services Inc., Margaret Carey
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Abigail J. Pessen, Eugene G. P. Byrne, Scott W. Mulford
Hearing Site: New York, NY
| | Expungement |
| 10-04510 | 06/28/2011 | Claimant(s): Jonathan Landow
Claimant Lawyers(s): Bernard Nathan
Respondent(s): Wachovia Securities, Wells Fargo Advisors, George Gordon, Walter Anderson
Respondent Lawyers(s): Erin Durba, Walter Randolph Anderson
Arbitrator(s): Michael E. Olney, Marguerite B. Filson, Abigail J. Pessen
Hearing Site: New York, NY
| | $0 |
| 09-05038 | 12/29/2010 | Claimant(s): George Comeau
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Jack Friedman, Christopher C. Gorski, Abigail J. Pessen
Hearing Site: New York, NY
| | Expungement |
| 09-02630 | 12/02/2010 | Claimant(s): James Dunning
Claimant Lawyers(s): Jon Paul Robbins
Respondent(s): Brian Hirsch, Martin Shafiroff, Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Joel P. Mellis, Abigail J. Pessen, Stephen J. Patti
Hearing Site: New York, NY
| | $0 |
| 08-01060 | 10/28/2009 | Claimant(s): Julius Shulman
Claimant Lawyers(s): Stefan Kalina
Respondent(s): Victor Labi, Leeb Brokerage Services.
Respondent Lawyers(s): Stephen Lee Leeb, Victor Labi
Arbitrator(s): Edward Buscemi, Hilary B. Miller, Abigail J. Pessen
Hearing Site: New York, NY
| | $450,000 |
