| 20-00478 | 11/02/2021 | Claimant(s): Christine Kearney
Claimant Lawyers(s): Stuart E. Finer
Respondent(s): LPL Financial LLC, Gregory Kearney
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Mark H. Stein, Douglas A. Eldridge, Ronald F Thompson
Hearing Site: Syracuse, NY
|  | $0 |
| 18-04139 | 01/22/2021 | Claimant(s): Jody Chesko, Richard Dorr, Jody Chesko Irrevocable Trust, Richard J. Dorr Irrev. Life Ins. Trust
Claimant Lawyers(s): Kevin T. O'Brien
Respondent(s): Susan Coriale, GWN, Securities Inc.
Respondent Lawyers(s): Erin Maddocks
Arbitrator(s): Howard B. Cohen, Gerald W. Hepp, Ronald F Thompson
Hearing Site: Buffalo, NY
| | Expungement |
| 19-02828 | 01/07/2021 | Claimant(s): George Kauffman
Claimant Lawyers(s): George W. Kauffman
Respondent(s): American Portfolios Financial Srvs., Robert Bartolotta, Torrey Giancursio
Respondent Lawyers(s): Gordon S. Dickens, Richard J. Babnick, Torrey Giancursio
Arbitrator(s): Barry Goldman, Ronald F Thompson, James Daniel Schultz
Hearing Site: Buffalo, NY
| | |
| 17-00740 | 06/13/2018 | Claimant(s): Frank A. Rossi Sr and Catherine M. Rossi
Claimant Lawyers(s): Kevin T. O'Brien
Respondent(s): James Honaker, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Richard W. Dissen, L. Paul Kehoe, Ronald F Thompson
Hearing Site: Buffalo, NY
| | $11,316 |
| 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 |
