| 15-02418 | 05/16/2017 | Claimant(s): Nobilis Consulting
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): George Buonocore, COR Clearing LLC
Respondent Lawyers(s): Gayle Jenkins, Kevin P. Conway
Arbitrator(s): Joseph I. Liebman, Deborah A. Shapiro, Emily Diamond
Hearing Site: New York, NY
|  | $0 |
| 16-01266 | 05/16/2017 | Claimant(s): Janice Leckey
Claimant Lawyers(s): Mark Shepard
Respondent(s): Fragasso Financial Advisors
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Barry Goldman
Hearing Site: Pittsburgh, PA
| | $0 |
| 15-03239 | 05/15/2017 | Claimant(s): Marjorie R. Brown Trust U/A/D 11/25/1997
Claimant Lawyers(s): Ralph J. Sirlin
Respondent(s): Morgan Stanley, Citigroup Global Markets.
Respondent Lawyers(s): Jerry M. Santangelo
Arbitrator(s): Robert J. Scafuri, A. Robert Stevenson, Melissa B. VanDam
Hearing Site: Detroit, MI
| | $150,000 |
| 15-02971 | 05/15/2017 | Claimant(s): Susan Monaco, Luke Monaco Custodian Account
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Alexander Capital, L.P., Legend Securities.
Respondent Lawyers(s): Aaron Wright, Salvatore C. Caruso
Arbitrator(s): Steven R. Bralove, David Paul Clark, Jane A. Smith
Hearing Site: Washington, DC
| | $0 |
| 16-02803 | 05/12/2017 | Claimant(s): Judith Graf
Claimant Lawyers(s): John G. Cataldo
Respondent(s): Anthony Didonato, Gail Sokol, Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Keith Roberts
Hearing Site: New York, NY
| | Expungement |
| 16-00979 | 05/12/2017 | Claimant(s): William Conklin, William Conklin IRA, William Conklin TOD Account
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Robert F. Saint-Aubin, W. Alex King, Kenneth M. Weinman
Hearing Site: Los Angeles, CA
| | $0 |
| 15-01681 | 05/11/2017 | Claimant(s): Lorraine Bonifazio
Claimant Lawyers(s): Anthony Varbero
Respondent(s): Bruce Guarino, Carl Antaki, Rockwell Global Capital LLC
Respondent Lawyers(s): Carl G. Antaki, Robert Bursky
Arbitrator(s): Renee La Verne Ross CFP, R. Peyton Gibson
Hearing Site: New York, NY
| | Stipulated Award |
| 16-00570 | 05/11/2017 | Claimant(s): Paul Brown
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): Joseph C. Roberts, Clydia Jean Cuykendall, Kenneth James Pedersen
Hearing Site: Seattle, WA
| | Expungement |
| 16-00381 | 05/11/2017 | Claimant(s): Mark Bell
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Bertrand M. Lanchner, Stephen A. Weiner, Marion F. Posner
Hearing Site: New York, NY
| | $0 |
| 16-03188 | 05/11/2017 | Claimant(s): Maryann Kassey
Claimant Lawyers(s): Maryann Kassey
Respondent(s): Raymond Congelosi
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Thomas Matthew Madden
Hearing Site: Providence, RI
| | $300 |
