| 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 |
| 15-00656 | 12/21/2015 | Claimant(s): Dolores Ottenad, William Ottenad
Claimant Lawyers(s): William L. Ottenad
Respondent(s): Stifel, Nicolaus & Co.., Phillip Carapella
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Joseph R. Soraghan
Hearing Site: St. Louis, MO
| | $12,800 |
| 15-00474 | 12/21/2015 | Claimant(s): Robert Rohan, Robert C. Rohan Family Partnership, LLLP
Claimant Lawyers(s): Robert C Rohan
Respondent(s): Vontobel Securities LTD
Respondent Lawyers(s): Gregory F. Hauser
Arbitrator(s): Richard J. Lawrence
Hearing Site: Salt Lake City, UT
| | $0 |
| 10-02256 | 12/18/2015 | Claimant(s): Estate of Frances Lagano
Claimant Lawyers(s): Frank Lagano
Respondent(s): Ardell Roan, George Manuelian, John Serocke, Joseph Calcagno, Morgan Stanley
Respondent Lawyers(s): Joseph Vincent Calcagno, Thomas P. Briody
Arbitrator(s): Michelle Jacobowitz Gallagher, Joanne Basso Mack, Gladys Mond
Hearing Site: New York, NY
| | Expungement |
| 13-03268 | 12/18/2015 | Claimant(s): Rona Okin
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sandra Grannum
Arbitrator(s): Robert Youdelman, Ernesto V. Luzzatto, Edwin H. Bennett
Hearing Site: New York, NY
| | Expungement |
| 14-01649 | 12/18/2015 | Claimant(s): Luis Roldan Caraballo, Luis Roldan Caraballo IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Bernard A. Becker, Lawrence Zenville Rosenberg, Carl Henry Perdue
Hearing Site: Miami, FL
| | $1,373,930 |
| 14-03775 | 12/18/2015 | Claimant(s): William Freas
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Elliot B. Platt, Mark H. Stein, Joseph H. Danziger
Hearing Site: Philadelphia, PA
| | $35,000 |
| 13-02838 | 12/17/2015 | Claimant(s): George Shelton
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Maxel (Bud) B. Silverberg, James L. Goble, Jeffrey Richard Chiappetta
Hearing Site: Dallas, TX
| | Expungement |
| 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 |
| 13-03342 | 12/17/2015 | Claimant(s): Patricia L. Micucci, Vincent A. Micucci
Claimant Lawyers(s): Gregg Rzepczynski
Respondent(s): Michael McCarthy
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Mark L Miller, Sondra Sellars, Marvin Harold Zelkin
Hearing Site: Chicago, IL
| | Expungement |
