| 14-03312 | 04/26/2016 | Claimant(s): Frank Munnerlyn, Margaret Munnerlyn
Claimant Lawyers(s): Ariel S. Rosenzveig
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Sandra Gale Behrle, Robert E. Anderson, Fern Sue Reidman
Hearing Site: New York, NY
|  | Expungement |
| 15-01512 | 02/05/2016 | Claimant(s): Clancy Financial Services.
Claimant Lawyers(s): Donna Clancy
Respondent(s): Wedbush Securities Inc., Sean Trager
Respondent Lawyers(s): Mia Grandpre
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | |
| 13-03766 | 10/02/2015 | Claimant(s): Ann Cole
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Sandra Gale Behrle, Frank E. Wolf, William M Peters
Hearing Site: Montpelier, VT
| | Expungement |
| 12-02533 | 08/14/2015 | Claimant(s): Estate of Malcolm Schvey
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): Mitchell S. Friedman, Sanford S. Stevens, Sandra Gale Behrle
Hearing Site: New York, NY
| | $427,060 |
| 12-04093 | 07/08/2015 | Claimant(s): Henry Zachs
Claimant Lawyers(s): John M. Magliery
Respondent(s): Albert Dishner, Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): Leah G. Rabinowitz, Sandra Gale Behrle, Gayle S. Sanders
Hearing Site: New York, NY
| | $0 |
| 14-02228 | 06/24/2015 | Claimant(s): Rocco Donofrio's IRA, Rocco Donofrio and Nanette Donofrio
Claimant Lawyers(s): Rocco Donofrio
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | $225 |
| 14-00973 | 03/23/2015 | Claimant(s): Joseph Nunn
Claimant Lawyers(s): Joseph C. Nunn
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Kimberlee A. Malaska
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | |
| 11-01236 | 03/18/2015 | Claimant(s): Angela Polito, Antonio Polito
Claimant Lawyers(s): Andrew J. Schatkin
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | Expungement |
| 14-02482 | 03/17/2015 | Claimant(s): Michael Scongerella
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | |
| 11-02044 | 11/13/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Alex Bolshem
Respondent Lawyers(s): Alex Bolshem
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | |
