| 22-01397 | 12/29/2022 | Claimant(s): Lawrence Natale
Claimant Lawyers(s): Robert J. Moses
Respondent(s): Purshe Kaplan Sterling Investments.
Respondent Lawyers(s): David M. Purcell
Arbitrator(s): Stuart M. Schwartz
Hearing Site: Albany, NY
| | |
| 21-01907 | 02/23/2022 | Claimant(s): James Boyer
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Key Investment Services LLC
Respondent Lawyers(s): Andrew P. Karamouzis
Arbitrator(s): Stuart M. Schwartz
Hearing Site: Albany, NY
| | |
| 20-03106 | 04/16/2021 | Claimant(s): George Koulouris
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Keybanc Capital Markets Inc.
Respondent Lawyers(s): Halden R. Schwallie
Arbitrator(s): Stuart M. Schwartz
Hearing Site: Syracuse, NY
| | |
| 16-01558 | 06/29/2017 | Claimant(s): Richard Congel
Claimant Lawyers(s): Richard C. Engel
Respondent(s): Wells Fargo Advisors, Paul Kordziel
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Stuart M. Schwartz, Michael J. McNeil, David R. Foley
Hearing Site: Syracuse, NY
|  | Expungement |
| 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 |
| 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 |
| 13-00646 | 01/30/2014 | Claimant(s): Robert Goll, The Pauline Goll Trust
Claimant Lawyers(s): August M. Iorio
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Stuart M. Schwartz
Hearing Site: Buffalo, NY
| | Expungement |
| 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 |
| 12-02827 | 10/28/2013 | Claimant(s): CCO Investment Services Corp., RBS Citizens, N.A.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Stacie Weber, Steven Tetens, Janney Montgomery Scott LLC
Respondent Lawyers(s): Christopher Stief, David K. Silverberg
Arbitrator(s): Stuart M. Schwartz, Sheldon Dinowitz, Steven C. Kempisty
Hearing Site: Albany, NY
| | |
| 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 |
