| 11-01476 | 05/08/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Megan M. Christensen
Respondent(s): Michael Boylan
Respondent Lawyers(s): Michael Boylan
Arbitrator(s): Charles L. Henderson, Howard L. Sobel, Veera V. Konka
Hearing Site: New York, NY
| | |
| 10-00037 | 11/20/2012 | Claimant(s): Elizabeth Jones, Susan Simon
Claimant Lawyers(s): Willard Knox
Respondent(s): Walnut Street Securities.
Respondent Lawyers(s): Kevin J. Smith
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 11-04029 | 05/15/2012 | Claimant(s): Kristen Mahoney
Claimant Lawyers(s): Kristen Mahoney
Respondent(s): Charles Brancato
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
|  | $0 |
| 10-00221 | 05/09/2012 | Claimant(s): Charles Baltic
Claimant Lawyers(s): Charlotte Houghteling
Respondent(s): CRT Capital Group LLC
Respondent Lawyers(s): Myles K. Bartley
Arbitrator(s): John B. Morgan, Howard L. Sobel, Seymour Stanton
Hearing Site: New York, NY
| | |
| 11-00974 | 03/29/2012 | Claimant(s): Chris Funnell
Claimant Lawyers(s): David Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nikolas Komyati
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | Expungement |
| 10-01471 | 01/04/2011 | Claimant(s): Jane Klotz
Claimant Lawyers(s): Nathan P. Pereira
Respondent(s): Michael Dawson, Mikiel Debary, Marquette De Bary Co.., Monarch Financial Corporation
Respondent Lawyers(s): Charles M. O'Rourke, Marquette de Bary, Michael F. Dawson, Mikiel de Bary
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | $0 |
| 09-06911 | 11/23/2010 | Claimant(s): Barbara Hunt
Claimant Lawyers(s): Elizabeth Goldman
Respondent(s): Fred Karagosian, NPA Financial Services.
Respondent Lawyers(s): Michael J. Karalewich
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | $0 |
| 09-03856 | 10/22/2010 | Claimant(s): Leo Greenland
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Martin Hunger, Howard L. Sobel, Benjamin L. Anderson
Hearing Site: New York, NY
| | $0 |
| 09-00886 | 10/07/2009 | Claimant(s): Douglas Lee
Claimant Lawyers(s): Anthony Carabba
Respondent(s): James Bovino, Trinity Trading Corp
Respondent Lawyers(s): Barbara Gettenberg, James Joseph Bovino
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 09-02524 | 09/29/2009 | Claimant(s): Susan Mohr Gomez
Claimant Lawyers(s): Kenneth V. Gomez
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Robert J. Eide
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
